Author Archives: benjamin

S 12.1

Original Notice. In connection with the motion filed pursuant to Article XI (Preliminaryon October 28, 2008 for preliminary approval of the Settlement Approval)Agreement, Class Counsel will submitsubmitted to the Court a proposed Notice of Class Action Settlement (“Notice”) and a Summary Notice of Class Action Settlement (“Summary Notice”) substantially in the forms attached hereto, respectively, […]

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S 12.2

Supplemental Notice. Class Counsel will submit to the Court a proposed Supplemental Notice of Class Action Settlement (“Supplemental Notice”) substantially in the form attached hereto as Attachment N Supplemental Notice). Class Counsel will recommend to the Court that the Supplemental Notice (translated into the same languages into which the original Notice was translated) be (a) […]

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S 13.3

Claiming Process and Website. The Registry and, for so long as Google continues to provide operational support for the Registry, Google, will (i) assist Claimants in claiming Books pursuant to Section 13.1 (Registration and Completing Claim Forms) and (ii) maintain and improve the Settlement Website so as to facilitate the claiming of Books pursuant to […]

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SA 04

Author-Controlled Determination

Posted in Article A4, Attachment A, Settlement | Comments closed

L UM A.08

Commercial Availability and Classification by Google. Google will use the process set forth in Section 3.2(d) of the Settlement Agreement to classify each work as Commercially Available or not and to correct mistakes made in initially classifying a work as Commercially Available (including when notified in writing by a Fully Participating Library or a Cooperating […]

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L UM A.07

Advertising and Institutional Subscription. The provisions of this Paragraph 7 will apply to the Institution only if the Institution has provided to Google and/or Google has Digitized not less than 50,000 Institution Library Scans from the Institution’s Selected Content. The Institution acknowledges that the Institutional Subscription offered to Higher Education Institutions may contain advertising as […]

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L UM A.05.4

d. Technical Cooperation. Google will reasonably cooperate with each Host Site to establish mutually agreed communications and dispute resolution procedures with the goal that Host Site issues related to technical performance (e.g. related to download issues) be addressed expeditiously.

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L UM A.05.3

c. Content Improvements and Delivery. After the initial delivery of the Research Corpus to a Host Site, within thirty (30) days after Google Digitizes a Book required to be in the Research Corpus or materially improves a Digital Copy of a Book contained in the Research Corpus, Google will provide or make available a copy […]

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L UM A.05.1

a. Cooperation in Research Corpus. Following the Effective Date, Google will exercise (when and if exercisable) all rights granted under Section 7.2(d) of the Settlement Agreement to enable the creation and implementation of the Research Corpus at Host Sites as determined and conditioned in accordance with such Section. Google will provide to each Host Site, […]

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L UM A.05

Research Corpus.

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L UM A.03.4

d. New Revenue Models. If (1) Google makes available any new revenue model pursuant to Section 4.7 of the Settlement Agreement, (2) such new revenue model includes the offering of access to any Library Scans, and (3) such new revenue model is offered to any Higher Education Institutions, then to the extent Google and/or the […]

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L UM A.03.3.2

(2) Possible Pricing Challenge. Any Initiating Library may initiate an arbitration pursuant to this Paragraph within ninety (90) days of receipt of a particular Pricing Review Report with respect to relevant Reviewable Subscriptions. Any such arbitration will be the exclusive mechanism to resolve disputes between Google and the Initiating Libraries with respect to whether Google […]

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L UM A.03.3.1

(1) Initial Report. Sixty (60) days after the date Google first makes an Institutional Subscription generally available to Higher Education Institutions and every two years on the anniversary of such date thereafter (each a “Pricing Review Date”), any Interested Institution may request (each such Interested Institution, together with such other Interested Institutions that so request […]

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L UM A.03.3

c. Pricing Review.

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L UM A.03.2

b. User Experience. Unless Google and the Institution agree otherwise, at a minimum, Google will provide the authorized users of the Institution (provided the Institution is a then current subscriber to the full Institutional Subscription offered to Higher Education Institutions) with First Class Access (as defined below) to the full Institutional Subscription offered to Higher […]

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L UM A.03.1

a. Availability of Institutional Subscription and Public Access Service. Google shall make the full Institutional Subscription offered to Higher Education Institutions and the Public Access Service generally available (including to the Institution with respect to such Institutional Subscription) within a reasonable period of time following the Effective Date, but in no event later than two […]

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L UM A.03

Institutional Subscription Offering, Public Access Service and Arbitration/Pricing.

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L UM A.02.2

b. If (i) a rightsholder opts out of the Settlement Agreement, (ii) Google makes an agreement with such rightsholder regarding the display of Protected content from any work, and (iii) Google makes any use pursuant to such agreement (other than any use whereby access is provided to users free of charge) of any digital copy […]

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L UM A.02.1

a. Google will not make use of any Institution Library Scan other than as authorized by the Settlement Agreement unless Google ensures that the releases, rights, and protections that otherwise would have applied under the Settlement Agreement and the coupling requirement set forth in Paragraphs 4(a) through 4(c) with respect to that Institution Library Scan […]

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L UM A.02

Use Outside of Settlement.

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L UM A.01.4

d. “Interested Institution” means any library that (i) is either a party to an existing Digitization Agreement and has executed an amendment to that Digitization Agreement or a party to a new Digitization Agreement that contains terms substantially identical to these Collective Terms (in the case of a Fully Participating Library) or the parallel “Collective […]

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L UM A.01.3

c. “Institution Library Work” means a Book that the Institution previously has made or in the future makes available to Google as a Library Work.

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L UM A.01.2

b. “Institution Library Scan” means a Library Scan derived in whole or in part from all or part of an Institution Library Work.

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L UM A.01.1

a. “Institution Digital Copy” means the U of M Digital Copy.

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L UM A.01

Additional Defined Terms. The following capitalized terms, when used herein, will have the following meanings:

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L UM A

COLLECTIVE AND CERTAIN SETTLEMENT AGREEMENT RELATED TERMS (Fully Participating Libraries)

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L UM A.0

This Attachment A (the “Collective Terms”) reflects provisions that supplement the Cooperative Agreement (the “Digitization Agreement”) between the Regents of the University of Michigan (the “Institution”) and Google Inc. (“Google”) dated June 15, 2005, as amended as of May ___, 2009, and has been created in contemplation of the settlement of certain litigation to which […]

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L UM A.11

Designated Representative and Security Representatives Matters. The Institution agrees to select, give instructions to, and exercise or waive certain rights through, the Designated Representative and the Security Representatives, as set forth in Section 7.4 of the Settlement Agreement.

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L UM A.12

Provisions of Digitization Agreements. Google will reflect, in each Digitization Agreement with a Fully Participating Library or Cooperating Library that such library will not have any rights to participate in the selection of, giving instructions to or exercising or waiving certain rights through the Designated Representative or the Security Representatives, as the case may be, […]

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L UM A.13

References. All references herein to provisions of the Settlement Agreement are intended to mean and include, as reasonably appropriate, such provisions as incorporated into the Library-Registry Agreement (whether pursuant to an Exhibit thereto or otherwise) to which the Institution is a party.

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L UM e

SAMPLE PROJECT FORM Project Name: Project Manager: Estimated Start Date: Estimated Completion Date: Description of Works Involved: Out-of-circulation Time: Location of Works: Conservation Requirements: Collection Instructions: Transportation Instructions: Special Handling Instructions: Infrastructure Requirements (e.g., space, power, scanner size and quantity, environmental parameters, etc.): Hours of Operation: Known Copyright Restrictions: Budget Allocations (if any): Other comments:

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L UM 09.2

Disclaimer>. THE WARRANTIES EXPLICITLY SET FORTH ABOVE ARE THE ONLY WARRANTIES PROVIDED HEREIN AND ARE IN LIEU OF ALL OTHER WARRANTIES BY THE PARTIES, EXPRESS OR IMPLIED, INCLUDING ANY IMPLIED WARRANTY OF MERCHANTABILITY OR FITNESS FOR A PARTICULAR PURPOSE, WITH RESPECT TO THE SUBJECT MATTER OF THIS AGREEMENT. WITHOUT LIMITING THE GENERALITY OF THE FOREGOING, […]

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L UM 09.1

Mutual Warranties. Each Party represents and warrants to the other that (i) it has full right, power and authority to enter into this Agreement and to perform all of its obligation hereunder; (ii) this Agreement constitutes its valid and binding obligation, enforceable against it in accordance with its terms; and (iii) its execution, delivery, and […]

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L UM 09

WARRANTIES AND DISCLAIMER

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L UM 08.2

Effect of Expiration or Termination. Within thirty (30) days after expiration or termination of this Agreement for any reason, each Party shall return to the other Party (or, at that Party’s request, destroy) any Confidential Information of that Party that is in its possession. The following sections shall survive expiration or termination of this Agreement: […]

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L UM 08.1

Term. This Agreement is effective as of the Original Effective Date and continues in full force and effect until April 30, 2009, unless earlier terminated as provided herein at the end of the Pilot Project. Upon the expiration of the Initial Term, this Agreement shall automatically renew for additional one year terms (each a “Renewal […]

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L UM 08.1

TERM AND TERMINATION

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L UM 07.2

License to Marks. Each party will submit all materials of any kind containing the other party’s Brand Features (other than its name in customer lists) to the other party for approval prior to release to the public. Except as set forth in this section, nothing in this Agreement shall be deemed to grant to one […]

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L UM 07.1

Press Releases or Announcements. Other than as has been mutually agreed upon by the Parties, neither Party may make any press announcements about the relationship or this Agreement without the prior written approval of the other Party, which will not be unreasonably withheld or delayed. U of M and Google, as practicable, will coordinate regarding […]

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L UM 07

MARKETING

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L UM 06.3

Exceptions. Neither Party is obligated to protect Confidential Information of the other Party that: (i) is rightfully received by the receiving Party from another party without restriction, or (ii) is known to or developed by the receiving Party independently without use of, or reference to, the Confidential Information, or (iii) is or becomes generally known […]

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L UM 06.2

Obligations. Each Party shall exercise at least the same degree of care to avoid the publication or dissemination of the Confidential Information of the other Party as it affords to its own confidential information of a similar nature which it desires not to be published or disseminated. The receiving Party shall not use Confidential Information […]

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L UM 6

CONFIDENTIALITY

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L UM 06.1

Confidential Information. By virtue of this Agreement, each Party may have access to information of the other Party which is considered confidential and proprietary, including the terms of this Agreement, Project Plan or Project form, product plans, customer lists, and proprietary technology or methods (“Confidential Information”), whether disclosed in tangible or intangible form. Information disclosed […]

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L UM 01.26

“Amendment Effective Date” means May 19, 2009.

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L UM 01.25

“Settlement Digital Copy” means the Library Digital Copy as that term is defined in the Settlement Agreement.

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L UM 01.24

“Non-Settlement Digital Copy” means the Digital Copies of the Selected Content Digitized by Google that are not governed, or that cease to be governed, by the Settlement Agreement, including without limitation as a result of such Selected Content rising into the public domain.

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L UM 01.23

“Digital Copy” means a set of electronic files, including (a) the image files of the individual pages of the Digitized Selected Content along with text (currently generated from optical character recognition technology “OCR”), (b) coordinate information for the text (i.e., the image coordinates), copyright notice, year, and place of publication for the text (if available […]

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L UM 01.22

“Website,” World Wide Web,” “the Internet,” and other technical terms in this Agreement and project plans refers to the current common usage of such terms and successor facilities of equal or greater capability.

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L UM 01.21

“U of M Digital Content” means content that U of M already has in its possession in Digitized form, as of the Original Effective Date.

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L UM 01.20

“Services” means collectively the Google Search Services, the Partner Search Services, and the Enterprise Search Services.

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L UM 01.19

“Selected Content” means the Available Content.

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L UM 01.18

“Search Services” means the search services provided by Google to an End User pursuant to which the End User can view, inter alia, content consisting of or derived from the Google Digital Copy (subject to the restrictions set forth in this Agreement) in response to search or browsing requests.

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L UM 01.16

“Project Plan” means a plan for implementing a Project. The Project Plan shall include the following: (1) instructions by U of M regarding how the Selected Content is to be collected and returned by Google; (2) if required, the amount of time available to U of M for performing conservation efforts; (3) the amount of […]

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L UM 01.15

“Project Form” means a form, pursuant to this Agreement, that contains the details of a Project Plan, similar to the sample attached as Exhibit A.

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L UM 01.14

“Initial Term” means the first six years of the Project, including the Pilot Project period.

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L UM 01.13

“Project” means a project for Digitizing certain Selected Content.

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L UM 01.12

“Pilot Project” means the onsite work at the University of Michigan, beginning from the Effective Date of this contract and ending on April 15, 2005.

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L UM 01.11

“Partner Search Services” means the Search Services provided by Google to an End User via a partner site that has entered into an agreement with Google to provide some or all of the Search Services through its own website.

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L UM 01.10

“U of M Digital Copy” means the Settlement Digital Copy and the Non-Settlement Digital Copy provided by Google to U of M. For the avoidance of doubt, the definition of “U of M Digital Copy” does not include Digital Copies provided to Google by U of M, unless such Digital Copies are Digitized by U […]

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L UM 01.09

“U of M Collection” means materials identified in section 1.1 above.

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L UM 01.08

“Google Search Services” means the Search Services provided by Google directly through the web sites located at www.google.com and corresponding international and other domains (e.g., www.google.de, www.google.info, etc).

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L UM 01.07

“Google Digital Copy” means a digital copy retained by Google of the Available Content that is Digitized by Google.

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L UM 01.06

“Enterprise Search Services” means the Search Services provided by Google to companies for use by employees of those companies and others.

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L UM 01.05

“End User” means a person or entity that uses the Services.

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L UM 01.03

“Digitize” means to convert a work from a hard copy (including microform) format into an electronic representation, using any means and any technology, whether now known or hereafter developed, including making necessary technical adaptations to achieve such conversion (but not including adapting or altering the content of such written work). ‘Digitization,’ ‘Digitizing’ and ‘Digitized’ have […]

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L UM 01.02

“Brand Features” means trade names, trademarks, service marks, logos, and other distinctive brand features, of which Google’s Brand Features include but are not limited to Google, the Google logo, other marks that incorporate the world “GOOGLE,” PAGERANK, and of which U of M’s brand features include but are not limited to the University of Michigan […]

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L UM 01.01

“Available Content” means the entire print library collection held by or under the control of the Regents of the University of Michigan. Available Content also includes, without limitation, works made available by U of M to Google in Digitized form. Those Books and Inserts included within the Available Content constitute the Books and Inserts targeted […]

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L UM 01

DEFINITIONS. Capitalized terms will have the meanings set forth below unless defined elsewhere in the Agreement.

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L UM 0.1

Background U of M is a leading academic institution and has amassed an enormous collection of works in various media. Google is a leader in providing the public with access to billions of web pages through a search engine that processes requests in less than half a second, and responds to more than 150 million […]

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L UM

Google and University of Michigan Library Agreement

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L UM 0

This COOPERATIVE AGREEMENT (the “Agreement”) is entered into by and between Google Inc., a Delaware corporation with offices at 1600 Amphitheatre Parkway, Mountain View, California 94043 (“Google”), and the Regents of the University of Michigan/University Library, Ann Arbor Campus, with its principal offices at 818 Hatcher South, Ann Arbor, MI 48109-1205 (“U of M”), and […]

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SAe 2

The undersigned has a good faith belief that he, she or it has the rights in the Book that is the subject of the Notice attached hereto that are necessary to authorize Google to use such Book in the Google Partner Program or [other Google program]. Documentation supporting such good faith belief is attached hereto. […]

Posted in Attachment A, Section A.E2, Settlement | Comments closed

SAe 1

The undersigned holds a Copyright Interest in the following Book: Title: Author: Publication Date: Publisher: ISBN: Other Identifying Information: The undersigned has a good faith belief that such Book is included in a Google program without the necessary authorization from the undersigned. The undersigned hereby requests that (check one): [ ] Google cease using the […]

Posted in Attachment A, Section A.E1, Settlement | Comments closed

SD 3.11

Use of Library Digital Copy by Fully Participating Libraries A Fully Participating Library’s Security Implementation Plan shall describe the processes and procedures it will employ to comply with the requirements in Section 7.2(b) and Section 7.2(c) of the Settlement Agreement, and in the Library-Registry (Fully Participating) Agreement, that permit and prohibit access to that Fully […]

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SD 3.10

Access to Research Corpus by Host Sites A Host Site’s Security Implementation Plan shall describe the processes and procedures it will employ to comply with the requirement in Section 7.2(d) of the Settlement Agreement, and in the Host Site-Registry Agreement, that only Qualified Users, reviewers and challengers may have access to the Research Corpus.

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SD 3.09.3

Institutional Subscription Google shall use commercially reasonable efforts to authenticate individual End Users for access to Books in an Institutional Subscription by verifying that an individual is affiliated with an institution with an active subscription. Google’s efforts will be in partnership with the subscribing institutions in a manner consistent with, or otherwise equivalent to, generally […]

Posted in Article D3, Attachment D, Section D3.9, Section D3.9.3, Settlement | Comments closed

SD 3.09.2

Consumer Purchase Google shall use commercially reasonable efforts to authenticate individual End Users purchasing access to individual Books through the use of account login or other equivalent method. An End User that is logged in will be identified as an Identified User based upon such End User’s login account information. Access to the full contents […]

Posted in Article D3, Attachment D, Section D3.9, Section D3.9.2, Settlement | Comments closed

SD 3.09.1

Preview Uses Google shall use commercially reasonable methods to identify unique Access Points from which Books contained within Google Book Search are being accessed for the purposes of Preview Use through signals such as the IP address, cookies and similar signals that may be available. Google shall monitor and track access to Preview Use pages […]

Posted in Article D3, Attachment D, Section D3.9, Section D3.9.1, Settlement | Comments closed

SD 3.09

Digitized File Content Delivery by Google This Section describes the security requirements applicable to Google in serving the content of Digitized Files to End Users under the terms defined in the Settlement Agreement.

Posted in Article D3, Attachment D, Section D3.9, Settlement | Comments closed

SD 3.08.2

Vulnerability Management Maintain a program and process to identify newly discovered security vulnerabilities, including as a result of network security testing pursuant to Section 3.5.4. Security fixes (e.g., patches, mitigating controls) are to be applied as soon as possible when vulnerabilities are deemed critical in order to protect the asset from intrusion vulnerabilities. If, however, […]

Posted in Article D3, Attachment D, Section D3.8, Section D3.8.2, Settlement | Comments closed

SD 3.08.1

Risk Assessment Pursuant to Section 8.2(c) of the Settlement Agreement, the Responsible Party is required to permit a mutually agreeable third party to conduct annual (or, if reasonably necessary, semi-annual) audits of security and usage to verify such Responsible Party’s compliance with its then-in-effect Security Implementation Plan.

Posted in Article D3, Attachment D, Section D3.8, Section D3.8.1, Settlement | Comments closed

SD 3.08

Risk Assessment The requirements under this heading pertain to the auditing and discovery of security vulnerabilities.

Posted in Article D3, Attachment D, Section D3.8, Settlement | Comments closed

SD 3.07.4

Access Records No less than annually, the ISR or his/her delegate shall review the currency and appropriateness of physical access to the facility where unencrypted Digitized Files are stored and sensitive areas. Logs will be maintained so that discrepancies can be discovered.

Posted in Article D3, Attachment D, Section D3.7, Section D3.7.4, Settlement | Comments closed

SD 3.07.3

Visitor Control Visitors to facilities where unencrypted Digitized Files are kept will be individually authorized for access. Responsible Parties will maintain a process for admitting visitors into areas where unencrypted Digitized Files are kept. This process will include controls on who can authorize access and a detailed description of how visitor log records for the […]

Posted in Article D3, Attachment D, Section D3.7, Section D3.7.3, Settlement | Comments closed

SD 3.07.2

Physical Access Control The use of entry systems, such as card readers, is used where possible to verify the credentials of Authorized Personnel passing through doors and to provide a method of tracking these individuals.

Posted in Article D3, Attachment D, Section D3.7, Section D3.7.2, Settlement | Comments closed

SD 3.07.1

Physical Access Authorizations As a safeguard against physical theft, access to facilities where unencrypted Digitized Files are stored or processed is restricted. The level of access varies and depends on the role of the Authorized Personnel accessing such unencrypted Digitized Files and whether such Authorized Personnel are “trusted agents” or certified third parties. Access to […]

Posted in Article D3, Attachment D, Section D3.7, Section D3.7.1, Settlement | Comments closed

SD 3.07

Physical and Environmental Protection The requirements under this heading pertain to the Responsible Party’s safeguards with respect to physical access to and protection of Digitized Files that are unencrypted. If, however, a Responsible Party does not adhere to these physical access safeguards with respect to its scanning facilities, then, with respect to such facilities, it […]

Posted in Article D3, Attachment D, Section D3.7, Settlement | Comments closed

SD 3.06.4

Media Sanitization and Disposal When digital media are retired or replaced, any Digitized Files that are unencrypted will be deleted or rendered permanently unusable from the digital media. Maintain an “end of life” disposal process for all media hardware components. Disposal of media that contains unencrypted Digitized Files must render the data unrecoverable. This requirement […]

Posted in Article D3, Attachment D, Section D3.6, Section D3.6.4, Settlement | Comments closed

SD 3.06.3

Media Storage Storage media containing unencrypted Digitized Files are maintained on premises or stored off-site in controlled facilities. Only a limited number of Authorized Personnel are authorized to release or receive tapes containing unencrypted Digitized Files (backup media) from an offsite storage vendor. Documentation of the list of such personnel is maintained and reviewed periodically, […]

Posted in Article D3, Attachment D, Section D3.6, Section D3.6.3, Settlement | Comments closed

SD 3.06.2

Media Inventory Maintain a media inventory log to verify that periodic media inventories are performed. The ISR or his/her delegate should validate that such a log is maintained. Digital media, such as hard drives and magnetic tape containing unencrypted Digitized Files, is tracked so that theft or loss of unencrypted Digitized Files can be detected. […]

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SD 3.06.1

Media Access Access to media containing unencrypted Digitized Files must be limited to authorized individuals only.

Posted in Article D3, Attachment D, Section D3.6, Section D3.6.1, Settlement | Comments closed

SD 3.06

Media Protection The requirements under this heading pertain to the Responsible Party’s protection of media containing unencrypted Digitized Files.

Posted in Article D3, Attachment D, Section D3.6, Settlement | Comments closed

SD 3.05.6

Encryption of Digitized Files In encrypting Digitized Files, the Responsible Party will use the algorithms and key sizes recommended in NIST SP 800-57 Part 1 – Recommended algorithms and minimum key sizes table. If, however, a Responsible Party does not adhere to NIST SP 800-57 Part 1 – Recommended algorithms and minimum key sizes table, […]

Posted in Article D3, Attachment D, Section D3.5, Section D3.5.6, Settlement | Comments closed

SD 3.05.5

Remote Network Access When Authorized Personnel require System-level Access (as defined above) to systems within the perimeter from outside the perimeter (“Remote Access”), encryption and reasonable authentication mechanisms are used to establish the identity of such Authorized Personnel.

Posted in Article D3, Attachment D, Section D3.5, Section D3.5.5, Settlement | Comments closed

SD 3.05.4

Network Security Testing Conduct annual reviews or network vulnerability scans that identify issues that PCI DDS describes as level 3 or higher. Security fixes for identified issues should be addressed as described in Section 3.8.2. Documentation of compliance shall be maintained and acknowledged by the ISR or his/her delegate. If, however, a Responsible Party does […]

Posted in Article D3, Attachment D, Section D3.5, Section D3.5.4, Settlement | Comments closed

SD 3.05.3

Device Hardening Maintain documentation for device hardening of network and computing systems that is consistent with guidelines provided by NIST Section 4.2 of NIST 800-123. Device hardening of network and computing systems should adhere to Section 4.2 of NIST 800-123 (Hardening and Securely Configuring the OS). If, however, a Responsible Party does not adhere to […]

Posted in Article D3, Attachment D, Section D3.5, Section D3.5.3, Settlement | Comments closed

SD 3.05.2

Network Firewall Maintain a network barrier that acts as a firewall to prevent unauthorized traffic from reaching systems that store unencrypted Digitized Files.

Posted in Article D3, Attachment D, Section D3.5, Section D3.5.2, Settlement | Comments closed

SD 3.05.1

Electronic Perimeter An electronic perimeter is created around systems storing and processing unencrypted Digitized Files as one safeguard against theft. The definition of an electronic perimeter may vary according to the needs of a particular Responsible Party to connect systems and networks to each other. Systems inside the perimeter are only provided with the ability […]

Posted in Article D3, Attachment D, Section D3.5, Section D3.5.1, Settlement | Comments closed

SD 3.05

Network Security The requirements under this heading pertain to the controls that limit the Responsible Party’s access to the network on which unencrypted Digitized Files are accessible.

Posted in Article D3, Attachment D, Section D3.5, Settlement | Comments closed

SD 3.04.3

Forensic Analysis In the event of an Unauthorized Access, Prohibited Access or Third-Party Unauthorized Access, the Responsible Party identified as the source of such breach will evaluate and analyze all reasonably determinable information to identify (a) the source of such breach (i.e., to determine whether the source of such breach was internal to the Responsible […]

Posted in Article D3, Attachment D, Section D3.4, Section D3.4.3, Settlement | Comments closed

SD 3.04.2

Marking of Image Files Google will take the following measures to identify the source of a security breach. Google will include an identifying mark on Digitized File images served to End Users through Display Uses that use such Digitized File images. In addition, Google will include on all Digitized File images included (1) in an […]

Posted in Article D3, Attachment D, Section D3.4, Section D3.4.2, Settlement | Comments closed

SD 3.04.1.4

Audit Record Retention Audit logs relating to access to unencrypted Digitized Files are to be maintained and readily available for a period of time reasonably necessary, but, in no event, less than six (6) months, to allow access to be traced in case of an incident. Such logs must also be maintained for at least […]

Posted in Article D3, Attachment D, Section D3.4, Section D3.4.1, Section D3.4.1.4, Settlement | Comments closed

SD 3.04.1.3

Protection of Audit Information Fully Participating Libraries and Host Sites (other than Google) will ensure that audit files and audit evidence relating to the access to unencrypted Digitized Files are protected from inappropriate modifications.

Posted in Article D3, Attachment D, Section D3.4, Section D3.4.1, Section D3.4.1.3, Settlement | Comments closed

SD 3.04.1.2

Content of Audit Records Audit log records of Fully Participating Libraries and Host Sites (other than Google) relating to access to unencrypted Digitized Files will contain the following: • Date and time of event • User responsible for event • Object of event (file name, database field, etc) • Type of event All systems used […]

Posted in Article D3, Attachment D, Section D3.4, Section D3.4.1, Section D3.4.1.2, Settlement | Comments closed

SD 3.04.1.1

Auditable Events Fully Participating Libraries and Host Sites (other than Google) will record the following events relating to access of unencrypted Digitized Files, and maintain such information in logs: • Authentication events • File access events • Administrative events

Posted in Article D3, Attachment D, Section D3.4, Section D3.4.1, Section D3.4.1.1, Settlement | Comments closed

SD 3.04.1

Logging and Audit Requirements for Fully Participating Libraries and Host Sites The requirements under this heading pertain to the ability of the Fully Participating Libraries and Host Sites (other than Google) to record the actions of Authorized Personnel described in this Section.

Posted in Article D3, Attachment D, Section D3.4, Section D3.4.1, Settlement | Comments closed

SB1 h

Check here if Library is a Hosting Fully Participating Library: __ List Requesting Fully Participating Library(ies) for which Library will host: Check here if Library is a Requesting Fully Participating Library: __ List Hosting Fully Participating Library that will host for Library: If Library is a Hosting Fully Participating Library, Library shall protect the security […]

Posted in Attachment B1, Section SB1.h, Settlement | Comments closed

SB1 e

[The Exhibits of each Library-Registry (Fully Participating) Agreement will attach, or incorporate by reference, the following sections from the Settlement Agreement.] Exhibit A: Settlement Agreement Definitions [Relevant definitions from the Settlement Agreement] Exhibit B: Fully Participating Library Uses [Section 7.2 (Fully Participating Library Uses)] Exhibit C: Exercise of Collective Rights [Section 7.4 (Fully Participating Libraries’ […]

Posted in Attachment B1, Section SB1.e, Settlement | Comments closed

SB1 9.11

(k) Counterparts. This Library Agreement may be signed in counterparts, each of which shall constitute a duplicate original. Execution by facsimile shall be fully and legally binding on a Party.

Posted in Attachment B1, Section B1.9, Section B1.9(k), Settlement | Comments closed

SB1 9.10

(j) Compliance with Law. Notwithstanding any other provision of this Library Agreement, nothing in this Library Agreement requires Library or the Registry to take any action that would violate any applicable law and neither of them shall be held to have breached this Library Agreement by omitting to take any action that, if taken, would […]

Posted in Attachment B1, Section B1.9, Section B1.9(j), Settlement | Comments closed

SB1 9.09

(i) Interpretation. The interpretive provisions of Section 17.32 (Interpretation) of the Settlement Agreement apply to this Library Agreement.

Posted in Attachment B1, Section B1.9, Section B1.9(i), Settlement | Comments closed

SB1 9.08

(h) Use of Contractors. Library may use third parties to exercise its rights or to perform any of its obligations under this Library Agreement, including the hosting and storage of Library’s LDC. If and to the extent that Library uses third parties to exercise its rights or to perform any of its obligations as set […]

Posted in Attachment B1, Section B1.9, Section B1.9(h), Settlement | Comments closed

SB1 9.07

(g) No Waiver. The failure of either Party to act in the event of a breach of this Library Agreement by the other shall not be deemed a waiver of such breach or a waiver of future breaches.

Posted in Attachment B1, Section B1.9, Section B1.9(g), Settlement | Comments closed

SB1 9.06

(f) Severability. If any provision of this Library Agreement shall be adjudged by any court of competent jurisdiction to be unenforceable or invalid, that provision shall be limited or eliminated to the minimum extent necessary so that this Library Agreement shall otherwise remain in full force and effect and remain enforceable between the Parties.

Posted in Attachment B1, Section B1.9, Section B1.9(f), Settlement | Comments closed

SB1 9.05

(e) Assignment. Except with respect to the use of contractors pursuant to Section 9(h) (Use of Contractors), neither Party may assign any of its rights or delegate any of its duties under this Library Agreement without the prior written consent of the other Party, which shall not unreasonably be withheld or delayed. Any attempted assignment, […]

Posted in Attachment B1, Section B1.9, Section B1.9(e), Settlement | Comments closed

SB1 9.04

(d) Amendment. This Library Agreement may be amended by a written agreement signed by both Parties, only if such amendment does not impair the rights of Rightsholders under this Library Agreement.

Posted in Attachment B1, Section B1.9, Section B1.9(d), Settlement | Comments closed

SB1 9.03

(c) Entire Agreement. This Library Agreement, including exhibits, sets forth the entire agreement between the Registry and Library with respect to its subject matter.

Posted in Attachment B1, Section B1.9, Section B1.9(c), Settlement | Comments closed

SB1 9.02

(b) Governing Law. This Library Agreement shall be governed by and construed in accordance with the law of the State of _______________, without reference to principles of conflicts of laws. [Governing law to be specified in each Library-Registry Agreement. Governing law will be New York or the state in which Library is located if required […]

Posted in Attachment B1, Section B1.9, Section B1.9(b), Settlement | Comments closed

SB1 9.01

(a) Notices. Unless provided for to the contrary in this Library Agreement, any and all notices or other communications or deliveries required or permitted to be made under this Library Agreement shall be in writing and sent to the Parties at their addresses identified above (or as otherwise provided by notice given pursuant to this […]

Posted in Attachment B1, Section B1.9, Section B1.9(a), Settlement | Comments closed

SB1 9

Miscellaneous Provisions.

Posted in Attachment B1, Section B1.9, Settlement | Comments closed

SB1 8

Dispute Resolution. Library hereby agrees that all disputes arising under this Library Agreement shall be subject to Exhibit H (Dispute Resolution). Except as provided in Exhibit H (Dispute Resolution), any claims, disputes or actions arising under or to enforce this Library Agreement shall be commenced and maintained only in the U.S. District Court for the […]

Posted in Attachment B1, Section B1.8, Settlement | Comments closed

SB1 7.2

(b) Rightsholders. Library acknowledges and agrees that each Rightsholder is a third-party beneficiary of this Library Agreement, entitled to enforce it in accordance with Section 8.3 (Breaches – General Principles) of the Settlement Agreement and Section 8.3 (Breaches – General Principles) of Exhibit E (Security and Breach) as if such Rightsholder were a party hereto.

Posted in Attachment B1, Section B1.7, Section B1.7(b), Settlement | Comments closed

SB1 7.1

(a) Library. The Registry, on behalf of Rightsholders, acknowledges and agrees that Library is a third-party beneficiary of certain provisions of the Settlement Agreement, as set forth in and according to the terms of Exhibit G (Third-Party Beneficiary).

Posted in Attachment B1, Section B1.7, Section B1.7(a), Settlement | Comments closed

SB1 7

Third-Party Beneficiary.

Posted in Attachment B1, Section B1.7, Settlement | Comments closed

SB1 6.2

(b) Library Releases of Rightsholders. Without further action by anyone, as of the Effective Date, Library, for good and sufficient consideration, the receipt and adequacy of which are hereby acknowledged, shall be deemed to have fully, finally and forever released, relinquished, settled, and discharged, each Rightsholder Releasor and Class Counsel, from any and all Claims […]

Posted in Attachment B1, Section B1.6, Section B1.6(b), Settlement | Comments closed

SB1 6.1

(a) Use of Digital Copies by Library. Pursuant to Section 10.2(a) (Release of Google Releasees, Fully Participating Library Releasees, Cooperating Library Releasees, Public Domain Releasees and Other Library Releasees) of the Settlement Agreement, as of the Effective Date, Library is released by Rightsholder Releasors from the Fully Participating Library Released Claims. Such section is set […]

Posted in Attachment B1, Section B1.6, Section B1.6(a), Settlement | Comments closed

SB1 6

Releases.

Posted in Attachment B1, Section B1.6, Settlement | Comments closed

SB1 5.3

(c) Limitation of Liability. In no event will Library or the Registry be liable for lost profits or any form of indirect, special, incidental, consequential or punitive damages of any character from any claims arising out of this Library Agreement, whether based on breach of contract (including, without limitation, breach of the Security Standard referred […]

Posted in Attachment B1, Section B1.5, Section B1.5(c), Settlement | Comments closed

SB1 5.2

(b) Disclaimer. The warranties explicitly set forth above are the only warranties provided herein and are in lieu of all other warranties by the Parties, express or implied, with respect to the subject matter of this Library Agreement.

Posted in Attachment B1, Section B1.5, Section B1.5(b), Settlement | Comments closed

SB1 5.1

(a) Mutual Warranties. Each Party represents and warrants to the other that (i) it has full power and authority to enter into this Library Agreement and to perform its obligations hereunder; and (ii) this Library Agreement constitutes its valid and binding obligation, enforceable against it in accordance with its terms.

Posted in Attachment B1, Section B1.5, Section B1.5(a), Settlement | Comments closed

SB1 5

Representations, Disclaimer And Limitation Of Liability.

Posted in Attachment B1, Section B1.5, Settlement | Comments closed

SB1 4.4

(d) Termination by Library. Library may terminate this Library Agreement at any time for any reason or for no reason, upon thirty (30) days’ notice to the Registry. In the event of such termination, Library shall delete or permanently render unusable its LDC, and shall certify to the Registry in writing that it has done […]

Posted in Attachment B1, Section B1.4, Section B1.4(d), Settlement | Comments closed

SB1 4.3

(c) Termination if Settlement Agreement Not Final. In the event that the Registry and Library agree that the Effective Date will never occur, this Library Agreement shall be null and void.

Posted in Attachment B1, Section B1.4, Section B1.4(c), Settlement | Comments closed

SB1 4.2

(b) Term. This Library Agreement shall continue in full force and effect until the last to expire of the U.S. copyright in each Book and Insert, unless otherwise terminated at an earlier date pursuant to Section 4(c) (Termination if Settlement Agreement Not Final) or Section 4(d) (Termination by Library).

Posted in Attachment B1, Section B1.4, Section B1.4(b), Settlement | Comments closed

SB1 4.1

(a) Effective Date. This Library Agreement, if not terminated pursuant to any provision hereof, shall become effective on the Library Agreement Effective Date.

Posted in Attachment B1, Section B1.4, Section B1.4(a), Settlement | Comments closed

SB1 4

Term And Termination.

Posted in Attachment B1, Section B1.4, Settlement | Comments closed

SB1 3

Digital Copy of Excluded Books. In the event that Google excludes a Book from one or more Display Uses for editorial reasons, and provides to the Registry a Digital Copy of such Book pursuant to Section 3.7(e)(i) (Digital Copy of Excluded Books) of the Settlement Agreement, then the Registry may, subject to Section 3.5 (Right […]

Posted in Attachment B1, Section B1.3, Settlement | Comments closed

SB1 2.8

(h) Hosting by Fully Participating Libraries. The Hosting Addendum attached hereto indicates whether Library will host an LDC for another Fully Participating Library, or whether another Fully Participating Library will host Library’s LDC for Library, and the applicable terms therefor. Library promptly will provide a revised Hosting Addendum to Registry in the event that, if […]

Posted in Attachment B1, Section B1.2, Section B1.2(h), Settlement | Comments closed

SB1 2.7

(g) Security of Library Digital Copy. Library and the Registry agree to the terms and conditions set forth in Exhibit E (Security and Breach). Library shall implement an initial Security Implementation Plan prior to using the LDC after the Effective Date. For all breaches of its Security Implementation Plan that are subject to Section 8.4 […]

Posted in Attachment B1, Section B1.2, Section B1.2(g), Settlement | Comments closed

SB1 2.6

(f) Meetings to Discuss Library Uses. The Registry, Google, Library and other Fully Participating Libraries will meet from time to time as mutually agreed to discuss operational matters regarding the Library-Registry (Fully Participating) Agreements and the provisions of the Settlement Agreement that are applicable to Fully Participating Libraries, as set forth in Exhibit D (Meetings […]

Posted in Attachment B1, Section B1.2, Section B1.2(f), Settlement | Comments closed

SB1 2.5

(e) Fully Participating Libraries’ and Cooperating Libraries’ Exercise of Collective Rights. In each case in which the Fully Participating Libraries and the Cooperating Libraries have the right as a group to exercise or waive a right or grant or withhold consent under certain sections of the Settlement Agreement, as set forth in Exhibit C (Exercise […]

Posted in Attachment B1, Section B1.2, Section B1.2(e), Settlement | Comments closed

SB1 2.4

(d) Use of Library Digital Copy. The Registry, on behalf of the Rightsholders, and Library agree to the terms and conditions set forth in Exhibit B (Fully Participating Library Uses).

Posted in Attachment B1, Section B1.2, Section B1.2(d), Settlement | Comments closed

SB1 2.3

(c) Library Digital Copy. The obligations and restrictions set forth in this Library Agreement regarding Digital Copies of Books apply only to the Library Digital Copy provided to Library by Google. If, pursuant to Section 3.5(a) (Right to Remove) of the Settlement Agreement, a Rightsholder exercises its right to have its Book Removed, then Library […]

Posted in Attachment B1, Section B1.2, Section B1.2(c), Settlement | Comments closed

SB1 2.2

(b) Non-Exclusive Digitization Rights. As of the Effective Date, in the United States, (i) Library may provide Books and Inserts to Google in hard copy (including microform) format to be Digitized (or in a form Digitized by or for Library), and (ii) Library may use such Books and Inserts as provided in this Library Agreement. […]

Posted in Attachment B1, Section B1.2, Section B1.2(b), Settlement | Comments closed

SB1 2.1

(a) Authorizations of Library. As of the Effective Date, the Registry authorizes Library to (i) use its Library Digital Copy in accordance with the terms and conditions of this Library Agreement and (ii) engage in the activities, and only the activities, set forth in this Library Agreement, and only in accordance with such terms and […]

Posted in Attachment B1, Section B1.2, Section B1.2(a), Settlement | Comments closed

SB1 2

Settlement Agreement Terms.

Posted in Attachment B1, Section B1.2, Settlement | Comments closed

SB1 1

Definitions. Capitalized terms have the meanings ascribed to them in Exhibit A (Settlement Agreement Definitions).

Posted in Attachment B1, Section B1.1, Settlement | Comments closed

SB1

FORM OF LIBRARY-REGISTRY (FULLY PARTICIPATING) AGREEMENT

Posted in Attachment B1, Settlement | Comments closed

SB1 0

This LIBRARY-REGISTRY (FULLY PARTICIPATING) AGREEMENT (with all of the exhibits hereto, the “Library Agreement”) is entered into by and between ______________, a ___________ with its principal offices at _________________ (the “Registry”), on behalf of itself and all Rightsholders, and __________________, with its principal offices at _________________________________(“Library”), is entered into as of _________________ and is effective […]

Posted in Attachment A, Attachment B1, Section B1.0, Settlement | Tagged | Comments closed

SD 3.04

Audit and Accountability The requirements under this heading pertain to the ability of an applicable Responsible Party to (a) record the actions of Authorized Personnel, if required, (b) identify the source of an Unauthorized Access, Prohibited Access or Third-Party Unauthorized Access, as applicable, and (c) conduct forensic analysis regarding any such breach. If, however, a […]

Posted in Attachment D, Section D3.4, Settlement | Comments closed

SC 1.2.6.1

(i) Initial Ten Years.

Posted in Article C1, Attachment C, Section C1.2, Section C1.2(f), Section C1.2(f)(i), Settlement | Comments closed

SA 0

Publishers and Authors recognize that they may have legitimate and overlapping rights to authorize use of and receive compensation for Books. Accordingly, in the course of settling the Action, Publishers and Authors have established procedures for determining their respective rights with respect to Books, the Settlement Fund and revenues earned from Books under the Settlement […]

Posted in Article A0, Attachment A, Settlement | Comments closed

S 0

WHEREAS, Plaintiffs, individually and on behalf of the Amended Settlement Class, have alleged that Defendant Google Inc. has violated the copyright laws of the United States; and WHEREAS, Google believes that its conduct was lawful at all times in all respects, and has not admitted any of the allegations of copyright infringement in the complaint […]

Posted in Article 0, Settlement | Comments closed

SD 3.03.3

Supervision and Review – Access Control The Authorization List is reviewed on a yearly basis, and acknowledged by the ISR or his/her delegate.

Posted in Article D3, Attachment D, Section D3.3, Section D3.3.3, Settlement | Comments closed

SD 3.03.2

Access Approval Process (System-Level Access) The Responsible Party will implement a process to manage System-level Access to unencrypted Digitized Files. This process will encompass the following: • The Responsible Party will select persons (“Access Approvers”) who will be responsible for approving System-level Access to systems containing unencrypted Digitized Files. • No person shall be granted […]

Posted in Article D3, Attachment D, Section D3.3, Section D3.3.2, Settlement | Comments closed

SD 3.03.1

Account Management Access (“System-level Access”) for the set-up and maintenance of hardware and software of systems storing and processing unencrypted Digitized Files requires Authorized Personnel to login.

Posted in Article D3, Attachment D, Section D3.3, Section D3.3.1, Settlement | Comments closed

SD 3.03

Access Controls The requirements under this heading pertain to the ability of the Responsible Party to control access to unencrypted Digitized Files, to limit that access only to Authorized Personnel, and to further limit what actions Authorized Personnel may take with unencrypted Digitized Files. Access controls should adhere to the Moderate Controls for AC-1, AC-2 […]

Posted in Article D3, Attachment D, Section D3.3, Settlement | Comments closed

SD 3.02.2

Authentication and Password Management Ensure proper user authentication and password management for access to unencrypted Digitized Files and their associated datastores, applications and tool sets. Authentication and password management controls in this Section should adhere to FIPS 112, Section 4.2 – Password System forMedium Protection Requirements of the National Institute of Standards Technology (“NIST”), with […]

Posted in Article D3, Attachment D, Section D3.2, Section D3.2.2, Settlement | Comments closed

SD 3.02.1

User Identification and Authentication Passwords, passphrases, digital keys or other similar methods(“Credentials”) are used to authenticate System-level Access to systems storing and processing unencrypted Digitized Files.

Posted in Article D3, Section D3.2, Section D3.2.1, Settlement | Comments closed

SD 3.02

Identification and Authentication Requirements under this heading pertain to the controls that require the Responsible Party’s’Authorized Personnel, management and administrators to have an authorized account on the network and/or systems when accessing unencrypted Digitized Files. To use those accounts, each such user must have a unique identifier and a means of authenticating his/her identity.

Posted in Article D3, Attachment D, Section D3.2, Settlement | Comments closed

SD 3.01.4

Incident Response Maintain security incident response plans that will address the response procedures, roles and responsibilities, and communication with contact details. In accordance with Section 8.3 of the Settlement Agreement, each Responsible Party is required to promptly report to the Registry all breaches of its Security Implementation Plan other than Inconsequential Breaches. Breaches that pose […]

Posted in Article D3, Attachment D, Section D3.1, Section D3.1.4, Settlement | Comments closed

SD 3.01.3

Security Awareness Implement (if not already in place) a security awareness program for all Authorized Personnel that will include a review upon hire, and retraining at least every three (3) years. The Responsible Party will keep a record of such retraining and acknowledgements by such Authorized Personnel that they have been retrained. Authorized Personnel shall […]

Posted in Article D3, Attachment D, Section D3.1, Section D3.1.3, Settlement | Comments closed

SD 3.01.2

Security Representative Each Responsible Party that has custody of unencrypted Digitized Files is to have a formally appointed employee (“Information Security Representative” or “ISR”) that understands the policies and procedures used to specifically control sensitive areas and information. The ISR will acknowledge his/her responsibilities and the Responsible Party will keep a record of such acknowledgement.

Posted in Article D3, Attachment D, Section D3.1, Section D3.1.2, Settlement | Comments closed

SD 3.01.1

Information Security Policy Establish (if not already in place), publish, maintain and disseminate information security policies that address all of the requirements contained herein and that are disseminated to all relevant Authorized Personnel. These policies shall be reviewed annually and updated when necessary. Information security policies are approved annually and after each revision by the […]

Posted in Article D3, Attachment D, Section D3.1, Section D3.1.1, Settlement | Comments closed

SD 3.01

Security Management The requirements under this heading pertain to the ability of the Responsible Party to oversee and manage the information security program and associated controls through policies, personnel, training and procedures.

Posted in Article D3, Attachment D, Section D3.1, Settlement | Comments closed

SD 3

Minimum Requirements. This Section includes the minimum requirements that the Responsible Party shall use in protecting unencrypted Digitized Files.

Posted in Article D3, Attachment D, Settlement | Comments closed

SD 2

Security Implementation Plans. In accordance with Article VIII of the Settlement Agreement, Google, each Fully Participating Library and each Host Site is required to formulate a Security Implementation Plan that meets the requirements of this Security Standard.

Posted in Article D2, Attachment D, Settlement | Comments closed

SD 1.5

All other capitalized terms used, but not defined, in this Security Standard have the same meanings as in the Settlement Agreement.

Posted in Article D1, Attachment D, Section D1.5, Settlement | Comments closed

SD 1.4

“Responsible Party” means the Person that is required to comply with this Security Standard in accordance with Article VIII of the Settlement Agreement, the Library-Registry (Fully Participating) Agreement and the Host Site-Registry Agreement and, as the context requires, shall refer to Google, a Fully Participating Library or a Host Site.

Posted in Article D1, Attachment D, Section D1.4, Settlement | Comments closed

SD 1.3

“End Users” means Google’s end users and does not include Authorized Personnel.

Posted in Article D1, Attachment D, Section D1.3, Settlement | Comments closed

SD 1.2

“Digitized Files” refers (i) in the case of Google, to electronic files of Books Digitized by or for Google, or provided to Google and used under the authorizations granted to Google in the Settlement Agreement, (ii) in the case of Fully Participating Libraries, to electronic files that are included in any LDC, or (iii) in […]

Posted in Article D1, Attachment D, Section D1.2, Settlement | Comments closed

SD 1.1

“Authorized Personnel” of a Responsible Party means the employees, vendors, contractors and business partners of the Responsible Party who access (i) unencrypted Digitized Files or systems storing unencrypted Digitized Files, and (ii) encrypted Digitized Files or systems storing encrypted Digitized Files to the extent such persons have access to the applicable encryption keys, in both […]

Posted in Article D1, Attachment D, Section D1.1, Settlement | Comments closed

SD 1

Overview and Definitions This is the Security Standard required by the Settlement Agreement.

Posted in Article D1, Attachment D, Settlement | Comments closed

SC 4.6

Dispute Resolution for Insert Rightsholders. All disputes arising under this Plan of Allocation shall be resolved under the dispute resolution mechanism set forth in Article IX (Dispute Resolution) of the Settlement Agreement.

Posted in Article C4, Attachment C, Section C4.6, Settlement | Comments closed

SC 4.5

No Precedential Effect. This Plan of Allocation is for purposes of the Settlement Agreement only, and has no precedential effect.

Posted in Article C4, Attachment C, Section C4.5, Settlement | Comments closed

SC 4.4

Claiming Rightsholders. Payments to Rightsholders will be subject to the eligibility requirements set forth in Section 13.1 (Registration and Completing Claims) of the Settlement Agreement and in the claim forms developed pursuant thereto.

Posted in Article C4, Attachment C, Section C4.4, Settlement | Comments closed

SC 4.3

Author-Publisher Procedures. All payments due under this Plan of Allocation to Author Sub-Class members and to Publisher Sub-Class members shall be made in accordance with the Author-Publisher Procedures. Multiple Author Rightsholders and multiple Publisher Rightsholders may share their respective payments pursuant to agreements or arrangements between them.

Posted in Article C4, Attachment C, Section C4.3, Settlement | Comments closed

SC 4.2

Registry Administration Costs. The Registry shall pay net revenues to Rightsholders pursuant to Parts I and II above after deducting the Registry’s costs of administration and operations, and any taxes payable by the Registry, on a proportionate and equitable basis.

Posted in Article C4, Attachment C, Section C4.2, Settlement | Comments closed

SC 4.1

Administrative Efficiency. To minimize its administrative costs and in its discretion, the Registry shall determine the length of each reporting period and establish a minimum amount for making payments to Rightsholders; provided, however,that accrued amounts in excess of US $25 or more will be distributed at least every five (5) years; provided, further, that the […]

Posted in Article C4, Attachment C, Section C4.1, Settlement | Comments closed

SC 4

Miscellaneous

Posted in Article C4, Settlement | Comments closed

SC 3.2

Excess Funds. If, after Cash Payments have been made to all Rightsholders entitled to receive such payments from the Settlement Fund, excess funds remain from Google’s minimum payment of US $45 million pursuant to Section 5.1(b (Funding of Cash Payments) of the Settlement Agreement, then such excess funds will be paid, on a proportional basis, […]

Posted in Article C3, Attachment C, Section C3.2, Settlement | Comments closed

SC 3.1

Amounts. Cash Payments shall be made from the Settlement Fund inaccordance with Section 5.1 (Cash Payments) to Class Members Whose Books and Inserts Have Been Digitized) of the Settlement Agreement.

Posted in Article C3, Section C3.1, Settlement | Comments closed

SC 3

Cash Payments

Posted in Article C3, Settlement | Comments closed

SC 2.4

Inserts. Rightsholders of Inserts will not be paid from revenues earned in Revenue Models other than Institutional Subscription or Consumer Subscriptions (if implemented), but they will be eligible for Inclusion Fees under Part I above.

Posted in Article C2, Attachment C, Section C2.4, Settlement | Comments closed

SC 2.3.2

(b) Other Revenue Models. If and at such time as Google and the Registry agree to implement a Revenue Model not specified in Part I or Section 2.1 above, the Registry shall at that time determine a fair and equitable methodology for distributing revenues from such Revenue Model that are not claimed by Rightsholders five […]

Posted in Article C2, Attachment C, Section C2.3, Section C2.3(b), Settlement | Comments closed

SC 2.3.1

(a) Book Use Revenues. The Registry shall distribute all Book Use Revenues paid to the Registry by Google that are not claimed by Rightsholders to a Book use fund (“Book Use Fund”). Five (5) years after the end of the reporting period in which such Book Use Revenues were earned, the Registry shall allocate such […]

Posted in Article C2, Attachment C, Section C2.3, Section C2.3(a), Settlement | Comments closed

SC 2.3

Unclaimed Funds.

Posted in Article C2, Attachment C, Section C2.3, Settlement | Comments closed

SC 2.2

Eligibility. To claim Book Use Revenues for a Book, a Rightsholder must register with the Registry within five (5) years after the end of the reporting period in which the Book earned such Book Use Revenues.

Posted in Article C2, Attachment C, Section C2.2, Settlement | Comments closed

SC 2.1

Book Use Revenues. The Registry will, subject to Section 4.2 below, distribute to Rightsholders of Books the revenues earned from Consumer Purchase, Advertising Uses, per-page printing fees from the Public Access Service and commercial public access services and, if agreed, the Revenue Models specified in Sections 4.7(a) (Print on Demand), 4.7(b) (Custom Publishing) and 4.7(c) […]

Posted in Article C2, Attachment C, Section C2.1, Settlement | Comments closed

SC 2

Revenue Models Other Than Subscriptions

Posted in Article C2, Attachment C, Settlement | Comments closed

SC 1.3

Consumer Subscriptions. If Google is authorized by the Registry to sell Consumer Subscriptions pursuant to Section 4.7(d) (Consumer Subscription Models) of the Settlement Agreement, the Registry shall pay Rightsholders subscription usage feesusing a fair and equitable methodology that is based on the methodology for Subscription Usage Fees implemented for Institutional Subscriptions.

Posted in Attachment C, Section C1.3, Settlement | Comments closed

SC 1.2.8.5

(v) The decision of the Registry (or Arbitrator) will be binding on the Rightsholders of the Book and of the Insert. Any fees paid to a Rightsholder of the Insert in accordance with such decision will be paid from the Insert Sub-Fund.

Posted in Article C1, Attachment C, Section C1.2, Section C1.2(h), Section C1.2(h)(v), Settlement | Comments closed

SC 1.2.8.4

(iv) After notifying the Rightsholder of the Book that contains such Insert, the Registry (or Arbitrator) decides that, in light of such contract or permission and any response thereto, such Rightsholder of the Insert is entitled toreceive the specified amount of monetary compensation set forth in such writing; and

Posted in Article C1, Attachment C, Section C1.2, Section C1.2(h), Section C1.2(h)(iv), Settlement | Comments closed

SC 1.2.8.3

(iii) Such amount of such monetary compensation exceeds US $50 (for an Entire Insert) or US $25 (for a Partial Insert); and

Posted in Article C1, Attachment C, Section C1.2, Section C1.2(h), Section C1.2(h)(iii), Settlement | Comments closed

SC 1.2.8.2

(ii) Such written contract or written permission specifically provides that the Insert Rightsholder is entitled to a specified amount of monetary compensation, set forth on the face of such contract or written permission, for the Book Rightsholder’s use of an Entire Insert or Partial Insert in an online data base or method of distribution substantially […]

Posted in Article C1, Attachment C, Section C1.2, Section C1.2(h), Section C1.2(h)(ii), Settlement | Comments closed

SC 1.2.8.1

(i) The Rightsholder demonstrates to the Registry (or Arbitrator under Article IX (Dispute Resolution) of the Settlement Agreement) that it has a written contract or written permission by which such Rightsholder had authorized a Book Rightsholder to include such Insert in a Book; and

Posted in Article C1, Attachment C, Section C1.2, Section C1.2(h), Section C1.2(h)(i), Settlement | Comments closed

SC 1.2.8

(h) Insert Rightsholder Exception. An eligible Rightsholder of an Insert may receive more than the Inclusion Fee for an Insert, as set forth in Sections 1.2(a) and 1.2(b) above, in accordance with the following:

Posted in Article C1, Attachment C, Section C1.2, Section C1.2(h), Settlement | Comments closed

SC 1.2.7

(g) Disbursement of Inclusion Fees. Depending on the amounts deposited in the Subscription Inclusion Fund or in any Sub-Fund, the Registry may, at any time after the five (5)-year period following the Effective Date and in a manner designed to maximize efficiency, disburse some or all of the Inclusion Fees to eligible Rightsholders.

Posted in Article C1, Attachment C, Section C1.2, Section C1.2(g), Settlement | Comments closed

SC 1.2.6.2.4

(4) Allocation of Revenues After Payment of All Inclusion Fees. After all Inclusion Fees have been paid pursuant to this Section 1.2 above, all revenues the Registry receives from Google for Institutional Subscriptions shall be deposited into the Subscription Usage Fund.

Posted in Article C1, Attachment C, Section C1.2, Section C1.2(f), Section C1.2(f)(ii), Section C1.2(f)(ii)(4), Settlement | Comments closed

SC 1.2.6.2.3

(3) Deposits After First Ten Years. After the initial ten (10)-year period, if the Registry continues to allocate revenues from Institutional Subscriptions to one or both of the Sub-Funds pursuant to paragraphs (1) or (2) above, then the Registry will, subject to Section 4.2 below, deposit ten percent (10%) of such revenues into the Subscription […]

Posted in Article C1, Attachment C, Section C1.2, Section C1.2(f), Section C1.2(f)(ii), Section C1.2(f)(ii)(3), Settlement | Comments closed

SC 1.2.6.2.2

(2) Insert Sub-Fund. If, at the end of the initial ten (10)-year period (or at the end of any subsequent ten (10)-year periods), the Insert Sub-Fund is in sufficient to pay US $50 for every Entire Insert and US $25 for every Partial Insert of an eligible Insert Rightsholder, the Registry shall continue to allocate […]

Posted in Article C1, Attachment C, Section C1.2, Section C1.2(f), Section C1.2(f)(ii), Section C1.2(f)(ii)(2), Settlement | Comments closed

SC 1.2.6.2.1

(1) Book Sub-Fund. If, at the end of the initial ten (10)-year period (or at the end of any subsequent ten (10)-year periods), the Book Sub-Fund is insufficient to pay US $200 for every Book of an eligible Rightsholder, a majority of the Board of Directors of the Registry shall determine whether to continue allocating […]

Posted in Article C1, Attachment C, Section C1.2, Section C1.2(f), Section C1.2(f)(ii), Section C1.2(f)(ii)(1), Settlement | Comments closed

SC 1.2.6.2

Subsequent Ten-Year Periods.

Posted in Article C1, Attachment C, Section C1.2, Section C1.2(f), Section C1.2(f)(ii), Settlement | Comments closed

SC 1.2.6.1.3

(3) If, at the end of such ten (10)-year period, the amount in the Book Sub-Fund exceeds the amount necessary to pay US $200 for every Book of an eligible Book Rightsholder, or the amount in the Insert Sub-Fund exceeds the amount necessary to pay US $50 or US $25 for every Entire Insert or […]

Posted in Article C1, Attachment C, Section C1.2, Section C1.2(f), Section C1.2(f)(i), Section C1.2(f)(i)(3), Settlement | Comments closed

SC 1.2.6.1.2

(2) If, by the end of such ten (10)-year period, the Book Sub-Fund and the Insert Sub-Fund are sufficient to pay US $200 for every Book of an eligible Book Rightsholder and US $50 and US $25 for every Entire Insert and Partial Insert, respectively, of an eligible Insert Rightsholder, the Registry shall complete the […]

Posted in Article C1, Attachment C, Section C1.2, Section C1.2(f), Section C1.2(f)(i), Section C1.2(f)(i)(2), Settlement | Comments closed

SC 1.2.6.1.1

(1) Beginning on the date on which the Registry receives the first payment from Google for an Institutional Subscription, and during the ten (10) years thereafter, the Registry will, subject to Section 4.2 below, deposit twenty-five percent (25%) of the revenues the Registry receives from Google for Institutional Subscriptions into the Subscription Inclusion Fund and […]

Posted in Article C1, Attachment C, Section C1.2, Section C1.2(f), Section C1.2(f)(i), Section C1.2(f)(i)(1), Settlement | Comments closed

S C.1.2.6.1

Initial Ten Years.

Posted in Settlement | Comments closed

SC 1.2.6

Funding.

Posted in Article C1, Attachment C, Section C1.2, Section C1.2(f), Settlement | Comments closed

SC 1.2.5

(e) No Exclusion After Payment. Once a Rightsholder has been paid any portion of the Inclusion Fee for its Book or Insert, such Rightsholder may not thereafter exclude such Book or Insert from Institutional Subscriptions unless such Rightsholder returns to the Registry all or such portion of the Inclusion Fee previously received by such Rightsholder […]

Posted in Article C1, Attachment C, Section C1.2, Section C1.2(e), Settlement | Comments closed

SC 1.2.4

(d) One Inclusion Fee Per Book. Only one Inclusion Fee will be paid per Book (not counting any Inserts therein).

Posted in Article C1, Attachment C, Section C1.2, Section C1.2(d), Settlement | Comments closed

SC 1.2.3.2

(ii) On the fifth (5th) anniversary of the Effective Date or at any time thereafter when such Inclusion Fee is to be paid, (1) if a Book, such Book is a Display Book and no Book Rightsholder has, at that time, directed that such Book be excluded from Institutional Subscriptions; or (2) if an Insert, […]

Posted in Article C1, Attachment C, Section C1.2, Section C1.2(c), Section C1.2(c)(ii), Settlement | Comments closed

SC 1.2.3.1

(i) Such Rightsholder must have registered a Book or Insert with the Registry within five (5) years of the Effective Date; and

Posted in Article C1, Attachment C, Section C1.2, Section C1.2(c), Section C1.2(c)(i), Settlement | Comments closed

SC 1.2.3

(c) Eligibility. A Rightsholder will be eligible to receive an Inclusion Fee provided he, she or it satisfies the following criteria:

Posted in Article C1, Attachment C, Section C1.2, Section C1.2(c), Settlement | Comments closed

SC 1.2.2

(b) Inserts. The Registry shall pay an Inclusion Fee for each Insert. The total of all Inclusion Fees paid for all Inserts consisting of Expression from the same work (e.g., from a Book, poem, song lyric, short story, or news article), however, may not exceed US $500.

Posted in Article C1, Attachment C, Section C1.2, Section C1.2(b), Settlement | Comments closed

SC 1.2.1

(a) Amounts. Inclusion Fees are targeted at US $200 per Book, although the actual per Book Inclusion Fee may be greater or less than US $200, as calculated pursuant to Section 1.2(f) below. Inclusion Fees for Inserts shall be no less than US $50 per Entire Insert and US $25 per Partial Insert (subject to […]

Posted in Article C1, Attachment C, Section C1.2, Section C1.2(a), Settlement | Comments closed

SC 1.2

Inclusion Fees

Posted in Article C1, Attachment C, Section C1.2, Settlement | Comments closed

SC 1.1.6

(f) Inserts. Rightsholders of Inserts will not be paid Subscription Usage Fees. They will, however, be eligible for Inclusion Fees, as set forth in Section 1.2 below.

Posted in Article C1, Attachment C, Section C1.1, Section C1.1(f), Settlement | Comments closed

SC 1.1.5

(e) Unclaimed Funds. Any and all Subscription Usage Fees for a reporting period not claimed by a fRightsholder within five (5) years after the end of such period shall be reallocated by the Registry as follows: first, if the Subscription Inclusion Fund is insufficient to pay all Inclusion Fees, to the Subscription Inclusion Fund (see […]

Posted in Article C1, Attachment C, Section C1.1, Section C1.1(e), Settlement | Comments closed

SC 1.1.4

(d) Payment. At the end of each reporting period, and subject to the minimum amount for payment established pursuant to Section 4.1 below, the Registry shall pay Subscription Usage Fees to each Registered Rightsholder whose Book was used during that period. If, at any time within five (5) years after the end of such period, […]

Posted in Article C1, Attachment C, Section C1.1, Section C1.1(d), Settlement | Comments closed

SC 1.1.3

(c) Eligibility. To claim Subscription Usage Fees for a Book, a Rightsholder must register with the Registry within five (5) years of the end of the reporting period in which the Book earned such Subscription Usage Fees. (The Registry will determine an appropriate reporting period pursuant to Section 4.1 below.)

Posted in Article C1, Attachment C, Section C1.1, Section C1.1(c), Settlement | Comments closed

SC 1.1.2

(b) Usage Fund. To pay Subscription Usage Fees, during the first ten (10)years after the Registry receives the first payment from Google for an Institutional Subscription, the Registry will, subject to Section 4.2 below, deposit into a Subscription Usage Fund seventy-five percent (75%) of the revenues it receives from Google for Institutional Subscriptions. After the […]

Posted in Article C1, Attachment C, Section C1.1, Section C1.1(b), Settlement | Comments closed

SC 1.1.1

(a) Usage Formula. To calculate the Subscription Usage Fees for each Book used by users of Institutional Subscriptions, the Registry will develop a fair and equitable usage formula. The formula may include factors such as the number of times users view a Book, how much of the Book is viewed, whether and how much of […]

Posted in Article C1, Attachment C, Section C1.1, Section C1.1(a), Settlement | Comments closed

SC 1.1

Subscription Usage Fees.

Posted in Article C1, Attachment C, Section C1.1, Settlement | Comments closed

SC 1

Subscriptions The Registry shall distribute to Rightsholders, as set forth below, all revenues received from Google for all Institutional Subscriptions based on (a) all use of Books in the Institutional Subscription Database (“Subscription Usage Fees”), and (b) the availability of Books and Inserts in the Institutional Subscription Database (“Inclusion Fees”).

Posted in Article C1, Attachment C, Settlement | Comments closed

SC

Plan of Allocation

Posted in Attachment C, Settlement | Comments closed

SA 11.6

Plan of Allocation. All distributions under these Author-Publisher Procedures will be made in accordance with the Plan of Allocation.

Posted in Article A11, Attachment A, Section A11.6, Settlement | Comments closed

SA 11.5

No Liability For Settlement or Administration. No Rightsholderwill have any claim against any Plaintiff, Class Counsel, Google or the Registry for (i)any decision with respect to payment of any Cash Payment under Section 5.1 (Cash Payment to Class Members Whose Books and Inserts Have Been Digitized) of the Settlement Agreement or (ii) actions taken in […]

Posted in Article A11, Attachment A, Section A11.5, Settlement | Comments closed

SA 11.4

Amendments. The Registry may amend the terms of these Author-Publisher Procedures pursuant to Section 17.27 (Amendments) or otherwise; provided,however, that no amendment may impair the rights of the Settlement Class, or, without Google’s consent, Google’s rights, under the Settlement Agreement. The Registry shall not make any such amendment except with a vote of the Board […]

Posted in Article A11, Attachment A, Section A11.4, Settlement | Comments closed

SA 11.3

Assistance. Publishers and Authors shall use commercially reasonable efforts to provide author-publisher contracts to assist the Registry (or Arbitrator) in classifying Books as In-Print or Out-of-Print and in resolving disputes brought pursuant to these Author-Publisher Procedures, subject to an appropriate confidentiality agreementthat will be executed by each party.

Posted in Article A11, Attachment A, Section A11.3, Settlement | Comments closed

SA 11.2

Notice. All notices, demands and requests as specified herein shall begiven to the parties specified herein and not pursuant to Sections 17.15(a) (Legal [Notices)and 17.15(b) (Other Notices) of the Settlement Agreement, and shall be in writing. Such notices, demands and requests shall be sent by e-mail (if practicable), postal mail, or other delivery methods. Notice […]

Posted in Article A11, Attachment A, Section A11.2, Settlement | Comments closed

SA 11.1

Delegation. The Registry may delegate one or more of the functions specified in Articles III, IV or VI to an Arbitrator designated pursuant to Article IX (Dispute Resolution) of the Settlement Agreement.

Posted in Article A11, Attachment A, Section A11.1, Settlement | Comments closed

SA 11

Miscellaneous

Posted in Article A11, Attachment A, Settlement | Comments closed

SA 10.3

Retention of Rights. All Rightsholders will retain any and all rights that they have under 17 U.S.C. § 512 with respect to all Books in Other Google Programs, except that Rightsholders will instead follow the procedures in this Article X for all Books covered by this Article X.

Posted in Article A10, Attachment A, Section A10.3, Settlement | Comments closed

SA 10.2.10

(j) To the extent that any provision of this Article X conflicts with anyother provision of these Author-Publisher Procedures, the provision of this Article X shall control.

Posted in Article A10, Attachment A, Section A10.2, Section A10.2(j), Settlement | Comments closed

SA 10.2.09.2

(ii) Either the Notifying Rightsholder or the Initial Authorizing Rightsholder may file a lawsuit against the other (or otherwise follow the dispute resolution procedures in the author-publisher contract) to assert that it has the rights to exploit such Book in either the Revenue Models or Other Google Programs, and nothing in these Author-Publisher Procedures or […]

Posted in Article A10, Attachment A, Section A10.2, Section A10.2(i), Section A10.2(i)(ii), Settlement | Comments closed

SA 10.2.09.1

(i) The provisions of Section 3.5(c)(ii)(4) and (5) of the Settlement Agreement will apply; and

Posted in Article A10, Attachment A, Section A10.2, Section A10.2(i), Section A10.2(i)(i), Settlement | Comments closed

SA 10.2.09

(i) If the Initial Authorizing Rightsholder objects to the Transfer Request pursuant to Section 10.2(h)(ii), then:

Posted in Article A10, Attachment A, Section A10.2, Section A10.2(i), Settlement | Comments closed

SA 10.2.08.2

(ii) Objecting to the Transfer Request by filing a notice ofobjection with the Registry.

Posted in Article A10, Attachment A, Section A10.2, Section A10.2(h), Section A10.2(h)(ii), Settlement | Comments closed

SA 10.2.08.1

(i) Not objecting to such Book being moved into the Revenue Models; or

Posted in Article A10, Attachment A, Section A10.2, Section A10.2(h), Section A10.2(h)(i), Settlement | Comments closed

SA 10.2.08

(h) If the Notice is a Transfer Request, the Initial Authorizing Rightsholder may respond, at its election, by:

Posted in Article A10, Attachment A, Section A10.2, Section A10.2(h), Settlement | Comments closed

SA 10.2.07.2

(ii) If Google does maintain or restore access, then the Notifying Rightsholder may file a lawsuit against the Initial Authorizing Rightsholder (or follow the dispute resolution procedures in the author-publisher contract) to determine who has the right to authorize Google to exploit such Book in the Other Google Program.

Posted in Article A10, Attachment A, Section A10.2, Section A10.2(g)(ii), Settlement | Comments closed

SA 10.2.07.1

(i) If, pursuant to Section 3.5(c)(ii)(3) of the Settlement Agreement, Google does not maintain or restore access to such Book in the Other Google Program, then the Initial Authorizing Rightsholder may file a lawsuit against the Notifying Rightsholder (or follow the dispute resolution procedures in the author publisher contract) to determine who has the right […]

Posted in Article A10, Attachment A, Section A10.2, Section A10.2(g), Section A10.2(g)(i), Settlement | Comments closed

SA 10.2.07

(g) The Registry shall forward the Counter-Notice to Google and the Notifying Rightsholder. If the Counter-Notice requirements are complied with, then:

Posted in Article A10, Attachment A, Section A10.2, Section A10.2(g), Settlement | Comments closed

SA 10.2.06

(f) The form of Counter-Notice is Exhibit B, and will be available online (including through the Registry’s website).

Posted in Article A10, Attachment A, Section A10.2(f), Settlement | Comments closed

SA 10.2.05.2

(ii) Objecting to the Take Down Request by filing with the Registry a counter notice that states, under penalty of perjury, that the Initial Authorizing Rightsholder has the good faith belief that he, she or it has rights in such Book necessary to authorize Google to exploit such Book as it is being exploited in […]

Posted in Article A10, Attachment A, Section A10.2, Section A10.2(e), Section A10.2(e)(ii), Settlement | Comments closed

SA 10.2.05.1

(i) Not objecting to the Take Down Request; or

Posted in Article A10, Attachment A, Section A10.2, Section A10.2(e), Section A10.2(e)(i), Settlement | Comments closed

SA 10.2.05

(e) If the Notice is a Take Down Request, the Initial Authorizing Rightsholder may respond, at its election, by:, as applicable.

Posted in Article A10, Attachment A, Section A10.2, Section A10.2(e), Settlement | Comments closed

SA 10.2.04

(d) The Initial Authorizing Rightsholder shall have thirty (30) days to respond to the Notice, as set forth in Sections 10.2(e) or 10.2(h). If Google, pursuant to Section 3.5(c)(ii)(2) of the Settlement Agreement, transfers such Book into the Revenue Models, such Book shall become subject to these Author-Publisher Procedures, as applicable.

Posted in Article A10, Attachment A, Section A10.2, Section A10.2(d), Settlement | Comments closed

SA 10.2.03

(c) The Notifying Rightsholder shall submit the Notice to the Registry. Upon receipt, the Registry shall forward a copy of the Notice to Google, and the person who had given Google permission to use such Book (the “Initial Authorizing Rightsholder”) will be sent a copy of the Notice by Google pursuant to Section 3.5.(c)(ii)(1) of […]

Posted in Article A10, Attachment A, Section A10.2, Section A10.2(c), Settlement | Comments closed

SA 10.2.02

(b) The form of Notice is Exhibit A hereto, and will be available online (including through the Registry’s website).

Posted in Article A10, Attachment A, Section A10.2, Section A10.2(b), Settlement | Comments closed

SA 10.2.01

(a) A Rightsholder who has a good faith belief that Google is exploiting such Book in an Other Google Program without the necessary authorizationfrom such Rightsholder (the “Notifying Rightsholder”), may, by using the form of notice described in Section 10.2(b) (the “Notice”), request, through the Registry, that Google either remove such Book from such Other […]

Posted in Attachment A, Section A10.2, Section A10.2(a), Settlement | Comments closed

SA 10.2

Take Down and Transfer Requests. The following procedures will apply to each In-Print Book (except for Educational Books) that is the subject of an author publisher contract executed prior to 1992 that has not been amended thereafter to expressly grant or retain all electronic rights pertinent to an Other Google Program if such Book is […]

Posted in Article A10, Attachment A, Section A10.2, Settlement | Comments closed

SA 10.1

Application of Decisions. For each In-Print Book published under an author-publisher contract executed prior to 1992 that has not been amended thereafter to expressly grant or retain all electronic rights pertinent to the Revenue Models or any Other Google Program, any decision in a dispute initiated pursuant to Section 5.5 regarding the royalty split for […]

Posted in Article A10, Attachment A, Section A10.1, Settlement | Comments closed

SA 10

Other Google Programs

Posted in Article A10, Attachment A, Settlement | Comments closed

SA 09.3

No Precedential Effect. Any decisions of the Registry (or of an Arbitrator pursuant to Article IX (Dispute Resolution) of the Settlement Agreement) with respect to any dispute brought pursuant to these Author-Publisher Procedures will be final. Except as expressly provided in Article X, any such decision, including but not limited to decisions made pursuant to […]

Posted in Article A9, Attachment A, Section A9.3, Settlement | Comments closed

SA 09.2

All Claims Governed. The provisions of these Author-Publisher Procedures shall govern all claims and disputes between Authors and Publishers regarding the inclusion and exploitation of any Book in the Revenue Models, and (except for Educational Books) the royalty splits for revenue derived from the Revenue Models.

Posted in Article A9, Attachment A, Section A9.2, Settlement | Comments closed

SA 09.1

Releases. Except as set forth in Sections 9.2 and 10.3, nothing herein shall constitute a release of any claim by an Author against a Publisher or by a Publisher against an Author, and all rights to bring such claims are expressly reserved by Authors and Publishers.

Posted in Article A9, Attachment A, Section A9.1, Settlement | Comments closed

SA 09

Releases and Precedential Effect

Posted in Article A9, Attachment A, Settlement | Comments closed

SA 08.4

Timing of Payments. No payments under Section 5.1 (Cash Payment to Class Members Whose Books and Inserts Have Been Digitized) of the Settlement Agreement or revenues from the Revenue Models shall be paid or distributed to Authors or Publishers until the Effective Date or one (1) year after the Final Approval Date, whichever is later, […]

Posted in Article A8, Attachment A, Section A8.4, Settlement | Comments closed

SA 08.3

Allocation of Unclaimed Funds. All revenues earned by Books that neither an Author nor a Publisher claims within five (5) years after the end of the reporting period during which such revenues were earned will be allocated between the Unclaimed Authors’ Fund and the Unclaimed Publishers’ Fund pursuant to Section 6.2(c), based on the Publication […]

Posted in Article A8, Attachment A, Section A8.3, Settlement | Comments closed

SA 08.2

Unclaimed Publishers’ Funds. If revenues earned by an Out-of-PrintBook are owed to the Publisher pursuant to Section 6.3(a) (Unclaimed Funds and Public Domain Funds) of the Settlement Agreement but the Publisher fails to register with theRegistry, the revenues to which the Publisher otherwise is entitled shall be designated Unclaimed Publishers’ Funds. All such Unclaimed Publishers’ […]

Posted in Article A8, Attachment A, Section A8.2, Settlement | Comments closed

SA 07.3.3

(c) Except as provided in this Section 7.3, all costs of the dispute resolution process will be borne by the Registry.

Posted in Article A7, Attachment A, Section A7.3, Section A7.3(c), Settlement | Comments closed

SA 07.3.2

(b) The Registry will adopt fees and rules for disputes brought pursuant to Section 7.1(b, which may differ from those adopted for disputes brought pursuant to Section 7.1(a).

Posted in Attachment A, Section A7.3, Section A7.3(b), Settlement | Comments closed

SA 07.3.1

(a) In cases of disputes brought pursuant to Section 7.1(a), the party submitting the dispute to the Arbitrator shall pay a filing fee to the Registry of $300 (subject to adjustment by the Registry), and if such party is the prevailing party, half of such filing fee will be refunded at the conclusion of the […]

Posted in Article A7, Attachment A, Section A7.3, Section A7.3(a), Settlement | Comments closed

SA 07.3

Fees. The Registry shall set filing fees for disputes taking into account the objectives of facilitating dispute resolution, deterring frivolous filings and defraying the Registry’s expenses, such that the dispute resolution process benefits Rightsholders but does not unduly financially burden the Registry.

Posted in Article A7, Attachment A, Section A7.3, Settlement | Comments closed

SA 07.2.3

(c) All decisions of the Arbitrator will be binding. In reaching adecision, the Arbitrator will give primary consideration to the terms of the written contract and amendments thereto, if any, between the parties. If the contract has no conclusive or determinative wording, the Arbitrator may consider extrinsic evidence, including documents, affidavits, the course of dealing […]

Posted in Article A7, Attachment A, Section A7.2, Section A7.2(c), Settlement | Comments closed

SA 07.2.2

(b) After notification to the Registry of a dispute, the parties will attempt to resolve the dispute amicably. If no such resolution is reached within ninety (90) days from the date the Registry was notified of such dispute (which period can be extended by agreement of the parties), any party can submit the dispute for […]

Posted in Article A7, Attachment A, Section A7.2, Section A7.2(b), Settlement | Comments closed

SA 07.2.1

(a) The Rightsholder will notify the Registry of a dispute; the Registrywill not pay any Rightsholder for the Book until after a final decision according to the procedures in this Article VII.

Posted in Article A7, Attachment A, Section A7.2, Section A7.2(a), Settlement | Comments closed

SA 07.2

Procedures. The following procedures shall apply to disputes described in Section 7.1:

Posted in Article A7, Attachment A, Section A7.2, Settlement | Comments closed

SA 07.1.2

(b) Between and among non-Publisher Rightsholders (e.g., co-authors and heirs and assignees of an Author) with respect to pricing, Removal, inclusion or exclusion of a Book, or authorization of one or more Display Uses of a Book, under the Settlement Agreement.

Posted in Article A7, Attachment A, Section A7.1, Section A7.1(b), Settlement | Comments closed

SA 07.1.1

(a) Between an Author and a Publisher referenced in Section 5.5, except if the dispute regards an Educational Book, provided, however that if the dispute concerns whether a Book is an Educational Book, then that dispute shall be subject to Article IX (Dispute Resolution) of the Settlement Agreement;

Posted in Article A7, Attachment A, Section A7.1, Section A7.1(a), Settlement | Comments closed

SA 07.1

Scope. This Article VII shall apply to disputes:

Posted in Article A7, Attachment A, Section A7.1, Settlement | Comments closed

SA 07

Disputes

Posted in Article A7, Attachment A, Settlement | Comments closed

SA 08.1

Unclaimed Authors’ Funds. If revenues earned by an Out-of-Print Book are owed to the Author pursuant to Section 6.3(a) (Unclaimed Funds and Public Domain Funds) of the Settlement Agreement but the Author fails to register with the Registry, the revenues to which the Author otherwise is entitled shall be designated UnclaimedAuthor’s Funds. All such Unclaimed […]

Posted in Article A8, Attachment A, Section A8.1, Settlement | Comments closed

SA 08

Unclaimed Funds

Posted in Article A8, Settlement | Comments closed

SA 06.4

Resolving Conflicting Claims. Except where otherwise specifically provided in these Author-Publisher Procedures, if both an Author and a Publisher claim or register an Out-of-Print Book other than an Educational Book and there is a conflict between their Claim Forms with respect to their asserted rights in the Book, the Author and the Publisher shall follow […]

Posted in Article A6, Attachment A, Section A6.4, Settlement | Comments closed

SA 06.3

Author Claim of Reversion. If an Author in claiming or registering an Out-of-Print Book pursuant to Section 13.1(c)(ii)(B) of the Settlement Agreement indicates that, to the best of the Author’s knowledge, such Book is not a work-for-hire and is reverted, and a Publisher claims or registers the same Book pursuant to Section 13.1(c)(ii)(2)(B) of the […]

Posted in Article A6, Attachment A, Section A6.3, Settlement | Comments closed

SA 06.2.3.4

(iv) The Publisher will not owe splits or royalties to the Author on the revenues remitted to the Publisher by the Registry under this Section 6.2.

Posted in Article A6, Attachment A, Section A6.2(c), Section A6.2(c)(iv), Settlement | Comments closed

SA 06.2.3.3

(iii) For purposes of this Section 6.2(c), “Publication Year”means the earliest copyright year that appears in or on the Book, or if no copyright yearappears in or on the Book, the year of initial publication set forth in a copyright registration for the Book.

Posted in Article A6, Attachment A, Section A6.2, Section A6.2(c), Section A6.2(c)(iii), Settlement | Comments closed

SA 06.2.3.2

(ii) For such Out-of-Print Books with a Publication Year during or after 1987, the Registry will pay out fifty percent (50%) of such revenues to the Author and fifty percent (50%) to the Publisher.

Posted in Article A6, Attachment A, Section A6.2, Section A6.2(c), Section A6.2(c)(ii), Settlement | Comments closed

SA 06.2.3.1

(i) For such Out-of-Print Books with a Publication Year prior to 1987, the Registry will pay out sixty-five percent (65%) of such revenues to the Author and thirty-five percent (35%) to the Publisher.

Posted in Article A6, Attachment A, Section A6.2, Section A6.2(c), Section A6.2(c)(i), Settlement | Comments closed

SA 06.2.3

(c) For Out-of-Print Books other than those described in Sections 6.2(a) and 6.2(b), the Registry will separately remit payment to both the Author and the Publisher as follows:

Posted in Article A6, Attachment A, Section A6.2, Section A6.2(c), Settlement | Comments closed

SA 06.2.2

(b) For Out-of-Print Books that are solely works-for-hire, the Registry will remit one hundred percent (100%) of such revenues to the Publisher.

Posted in Article A6, Attachment A, Section A6.2, Section A6.2(b), Settlement | Comments closed

SA 06.2.1

(a) For Out-of-Print Books for which the rights have reverted to the Author or are Author-Controlled, the Registry will remit one hundred percent (100%) of such revenues to the Author.

Posted in Article A6, Attachment A, Section A6.2, Section A6.2(a), Settlement | Comments closed

SA 06.2

Distribution of Payments/Revenues. All payments under Section 5.1 (Cash Payment to Class Members Whose Books and Inserts Have Been Digitized) of the Settlement Agreement and revenues earned from Revenue Models shall be distributed by the Registry as follows:

Posted in Article A6, Attachment A, Section A6.2, Settlement | Comments closed

SA 06.1.3.2

(i) upon receipt of a request to change the price for Consumer Purchase of such Book, the Registry shall notify the other party, if such a party(ii) in the case of a timely objection by the other party, theRegistry will maintain the higher of the prices specified until the parties can agree on anew price […]

Posted in Article A6, Attachment A, Section A6.1, Section A6.1(c), Section A6.1(c)(ii), Settlement | Comments closed

SA 06.1.3.1

(i) upon receipt of a request to change the price for Consumer Purchase of such Book, the Registry shall notify the other party, if such a party has been identified; and

Posted in Article A6, Attachment A, Section A6.1, Section A6.1(c), Section A6.1(c)(i), Settlement | Comments closed

SA 06.1.3

(c) For all Out-of-Print Books for which the rights have not reverted to the Author and that are neither works-for-hire nor Author-Controlled, both (i) the Author and (ii) the Publisher shall be considered the Rightsholder for purposes of directing Removal, exclusion, changes in Display Uses and/or levels of access for any Revenue Model, provided, however, […]

Posted in Article A6, Attachment A, Section A6.1, Section A6.1(c), Settlement | Comments closed

SA 06.1.2

(b) For all Out-of-Print Books for which the rights have reverted to the Author or are determined to be Author-Controlled, only an Author of such Books shall be considered a Rightsholder for purposes of directing Removal, exclusion, changes in Display Uses and/or levels of access for any Revenue Model. The Author will control the pricing […]

Posted in Article A6, Attachment A, Section A6.1, Section A6.1(b), Settlement | Comments closed

SA 06.1.1

(a) For all Out-of-Print Books that are works-for-hire, only the Publisher of such Books shall be considered the Rightsholder for purposes of directing Removal, exclusion, changes in Display Uses and/or levels of access for any Revenue Model. The Publisher will control the pricing for Consumer Purchase of any such Books.

Posted in Article A6, Attachment A, Section A6.1, Section A6.1(a), Settlement | Comments closed

SA 06.1

Permitted Uses and Pricing. The following terms shall apply with respect to uses of Out-of-Print Books:

Posted in Article A6, Attachment A, Section A6.1, Settlement | Comments closed

SA 06

Out-Of Print Books

Posted in Article A6, Attachment A, Settlement | Comments closed

SA 05.5

Distribution of Payments/Revenues. All payments under Section 5.1 (Cash Payments to Class Members Whose Books and Inserts Have Been Digitized) of the Settlement Agreement and all revenues from Revenue Models for In-Print Books shall be remitted by the Registry to the Publisher and flow through the royalty statements of thePublisher. The Publisher shall provide to […]

Posted in Article A5, Attachment A, Section A5.5, Settlement | Comments closed

SA 05.4

Control of Pricing. If, either by the procedure set forth in Section 5.1 or pursuant to a Transfer Request under Article X for an In-Print Book in an Other Google Program, the Publisher and Author agree to authorize one or more Display Uses for aBook, then the Publisher has the right to determine the pricing […]

Posted in Article A5, Attachment A, Section A5.4, Settlement | Comments closed

SA 05.3

Conflicting Directions. If, at any time, the Author and the Publisher of a Book issue conflicting directions to the Registry for an In-Print Book pursuant to Section 3.5 (Right to Remove or Exclude) of the Settlement Agreement, the more restrictive directions as to Removal, exclusions, changes in Display Uses or levels of access will control […]

Posted in Article A5, Attachment A, Section A5.3, Settlement | Comments closed

SA 05.2

Removal; Exclusion; Changes in Display Uses. Subject to Section 5.3, either the Author or the Publisher may direct the Registry to Remove or exclude, or change Display Uses of, an In-Print Book pursuant to Section 3.5 (Right to Remove or Exclude) of the Settlement Agreement, and, upon such direction, the Registry will notify Google and […]

Posted in Article A5, Attachment A, Section A5.2, Settlement | Comments closed

SA 05.1.3

(c) Nothing herein precludes an Author from informing the Publisher and the Registry at any time that the Author wants the Book made available for one or more Display Uses.

Posted in Article A5, Attachment A, Section A5.1, Section A5.1(c), Settlement | Comments closed

SA 05.1.2

(b) After the thirty (30)-day period in Section 5.1(a), each of the Author and the Publisher for an In-Print Book shall continue to be considered a Rightsholder for purposes of Section 3.5 (Right to Remove or Exclude) of the Settlement Agreement (i.e., for purposes of directing Removal, exclusion, changes in Display Uses and/or levels of […]

Posted in Article A5, Attachment A, Section A5.1, Section A5.1(b), Settlement | Comments closed

SA 05.1.1

(a) The Publisher shall initially notify the Registry and the Author ofthe Book as to any and all Display Uses the Publisher wishes to authorize (e.g., whetheror not to allow Preview Use for a Book). The Author shall have the right, within thirty (30) days from the provision of such notice by the Publisher, to […]

Posted in Article A5, Attachment A, Section A5.1, Section A5.1(a), Settlement | Comments closed

SA 05

In-Print Books

Posted in Article A5, Attachment A, Settlement | Comments closed

SA 05.1

Permitted Uses. Both an Author (other than a work-for-hire Author) and the Publisher of an In-Print Book will be considered a Rightsholder for purposes of Section 3.5 (Right to Remove or Exclude) of the Settlement Agreement. Except for Books that are works-for-hire, for an In-Print Book, both the Author and the Publisher of such Book […]

Posted in Article A5, Attachment A, Section A5.1, Settlement | Comments closed

SA 04.1.5.5

(v) If the Registry determines an Out-of-Print Book should be reclassified as an In-Print Book, then the In-Print Book shall be subject to Article V.

Posted in Article A4, Attachment A, Section A4.1, Section A4.1(e), Section A4.1(e)(v), Settlement | Comments closed

SA 04.1.5.4

(iv) If the Registry determines that the conditions in the author publisher contract for reversion to the Author of rights in the Book have not been met and that the Book is Out-of-Print, then the Out-of-Print Book shall be subject to Section 6.1(a) or 6.1(c), as applicable, and all escrowed revenues shall be distributed pursuant […]

Posted in Article A4, Attachment A, Section A4.1, Section A4.1(e), Section A4.1(e)(iv), Settlement | Comments closed

SA 04.1.5.3

(iii) If the Registry determines that the conditions in the author publishercontract for reversion to the Author of rights in the Book have been met, the Registry shall deem the Book to be Out-of-Print and Author-Controlled, the Book shall be subject to Section 6.1(b), and all escrowed revenues shall be distributed according to Section 6.2(a).

Posted in Article A4, Attachment A, Section A4.1, Section A4.1(e), Section A4.1(e)(iii), Settlement | Comments closed

SA 04.1.5.2

(ii) The Registry shall review both parties’ documentary submissions, as well as any other relevant evidence, to determine whether rights in the Book are subject to reversion to the Author according to the terms of the author-publisher contract.

Posted in Article A4, Attachment A, Section A4.1, Section A4.1(e), Section A4.1(e)(ii), Settlement | Comments closed

SA 04.1.5.1

(i) At either party’s request, the Registry shall review both parties’ documentary submissions, as well as any other relevant evidence, to determine whether the Book should be classified as In-Print or as Out-of-Print pursuant to the procedures and tests in Article III.

Posted in Article A4, Attachment A, Section A4.1, Section A4.1(e), Section A4.1(e)(i), Settlement | Comments closed

SA 04.1.5

(e) If, within one hundred twenty (120) days of the date of the Change Status Notice, the Publisher disputes the Change Status Notice, the parties shall submit the issues in dispute to the Registry for decision.

Posted in Article A4, Attachment A, Section A4.1, Section A4.1(e), Settlement | Comments closed

SA 04.1.4

(d) If, within one hundred twenty (120) days of the date of the Change Status Notice, the Publisher does not respond in writing to the Registry and the Author to dispute the Change Status Notice, the Registry shall deem the Book to be Author-Controlled. Such Author-Controlled Book shall be subject to Section 6.1(b) and escrowed […]

Posted in Article A4, Attachment A, Section A4.1, Section A4.1(d), Settlement | Comments closed

SA 04.1.3

(c) Upon receipt of a Change Status Notice for a Book, the Registry shall escrow all revenues from Revenue Models thereafter owed to an Author and Publisher of the Book.

Posted in Article A4, Attachment A, Section A4.1, Section A4.1(c), Settlement | Comments closed

SA 04.1.2.3

(iii) include a copy of the applicable author-publisher contract if the Author has it.

Posted in Article A4, Attachment A, Section A4.1(b), Section A4.1(b)(iii), Settlement | Comments closed

SA 04.1.2.2

(ii) include a copy of the request for reversion previously sent to the Publisher; and

Posted in Article A4, Attachment A, Section A4.1, Section A4.1(b), Section A4.1(b)(ii), Settlement | Comments closed

SA 04.1.2.1

affirm that the Author believes that the Book is no longer“in-print,” as defined in Test 1 and that the Response Period has expired, and request that the Book be deemed to be Author-Controlled;

Posted in Article A4, Attachment A, Section A4.1, Section A4.1(b), Section A4.1(b)(i), Settlement | Comments closed

SA 04.1.2

(b) If the Publisher does not respond or did not previously respond inwriting to such request within (i) ninety (90) days or (ii) the applicable written responseperiod specified in the author-publisher contract, if any (whichever period is longer) (the“Response Period”), then the Author may send a “Change Status Notice” to the Registry(with a copy to […]

Posted in Article A4, Attachment A, Section A4.1, Section A4.1(b), Settlement | Comments closed

SA 04.1.1

(a) An Author shall send or shall have previously sent to the Publisher(either before or after the Effective Date) a request for reversion to the Author of rights insuch Book, in accordance with the author-publisher contract.

Posted in Article A4, Attachment A, Section A4.1, Section A4.1(a), Settlement | Comments closed

SA 04.1

Procedures. The following procedure shall apply in determining whether any Book for which the rights have not reverted to the Author (other than a Book that is a work-for-hire or for which the author-publisher contract does not provide for reversion of rights to the Author in any circumstances) shall be classified as Author-Controlled solely for […]

Posted in Article A4, Attachment A, Section A4.1, Settlement | Comments closed

SA 04.2

Notification of Procedures. If a Publisher claims or registers a Book pursuant to Section 13.1(c)(ii)(2)(B) of the Settlement Agreement and an Author claims or registers the same Book pursuant to Section 13.1(c)(ii)(3)(B) of the Settlement Agreement, the Registry will notify both the Author and Publisher of such claims and of the procedures available under this […]

Posted in Article A4, Attachment A, Section A4.2, Settlement | Comments closed

SA 03.3.6

(f) If (i) a challenge to the classification of a Book or group of Books is brought by the Author directors or the Publisher directors of the Board of Directors of the Registry pursuant to Section 3.2, (ii) such challenge is brought before the Board of Directors and (iii) the Board of Directors is unable […]

Posted in Article A3, Attachment A, Section A3.3, Section A3.3(f), Settlement | Comments closed

SA 03.3.5.2

(ii) Nothing precludes the Author of a Book from at any time challenging the status of that Book as In-Print on the ground that the Book fails to meet either Test 1 or Test 2.

Posted in Article A3, Attachment A, Section A3.3, Section A3.3(e), Section A3.3(e)(ii), Settlement | Comments closed

SA 03.3.5.1

(i) A determination by the Registry that a Book classified as In-Print should actually be classified as Out-of-Print shall not preclude the Publisher of that Book from subsequently publishing the Book that would result in a further reclassification of the Book as In-Print, provided doing so is consistent with the terms of the author-publisher contract.

Posted in Article A3, Attachment A, Section A3.3, Section A3.3(e), Section A3.3(e)(i), Settlement | Comments closed

SA 03.3.5

(e) Any such determination by the Registry shall be final, provided, however:

Posted in Article A3, Attachment A, Section A3.3, Section A3.3(e), Settlement | Comments closed

SA.03.3.4

(d) If the parties have each timely submitted evidence and have not resolved the matter between them within sixty (60) days from the date such evidence is submitted to the Registry, the Registry will determine whether the evidence submitted establishes that the Book should be classified as In-Print or Out-of-Print under Section 3.2 by reviewing […]

Posted in Article A3, Attachment A, Section A3.3, Section A3.3(d), Settlement | Comments closed

SA 03.3.3

(c) The Registry shall notify the other party of such challenge and evidence. If the other party, upon receipt of such notice, does not object and provide evidence rebutting the challenge within one hundred twenty (120) days from the time such notice is sent by the Registry, and the Registry finds that the evidence is […]

Posted in Article A3, Attachment A, Section A3.3, Section A3.3(c), Settlement | Comments closed

SA 03.3.2

(b) An Author or Publisher of a Book, or the Author directors or Publisher directors of the Board of Directors of the Registry, respectively, challenging the classification of such Book as In-Print or Out-of-Print shall file a notice with the Registry with evidence (such as contracts, royalty statements, or trade announcements) sufficient to establish whether […]

Posted in Article A3, Attachment A, Section A3.3, Section A3.3(b), Settlement | Comments closed

SA 03.3.1

(a) An In-Print Book shall be reclassified as an Out-of-Print Book if, pursuant to Section 3.2(d)(i) (Basis for Determination) of the Settlement Agreement such Book is determined to be not Commercially Available unless, pursuant to Article III, an Author or Publisher of such Book (or the Author directors or Publisher directors of the Board of […]

Posted in Article A3, Attachment A, Section A3.3, Settlement | Comments closed

SA 03.3

Procedures for Changing Classification of a Book.

Posted in Article A3, Attachment A, Section A3.3, Settlement | Comments closed

SA 03.2.2

(b) If neither of the Tests in Section 3.2(a)(i) or (ii) is met, then the Book shall be classified as Out-of-Print.

Posted in Article A3, Attachment A, Section A3.2, Section A3.2(b), Settlement | Comments closed

SA 03.2.1.2

(ii) Test 2: To the extent consistent with any rights in the Book that it may have under the author-publisher contract, the Publisher publicly has announced to the trade that it has undertaken concrete steps to publish an existing or new edition of the Book, and such edition is published within twelve (12) months of […]

Posted in Article A3, Attachment A, Section A3.2, Section A3.2(a), Section A3.2(a)(ii), Settlement | Comments closed

SA 03.2.1.1.3

(3) A Book is not “in-print” if the author-publisher contract provides for reversion to the Author of rights in the Book and all of the criteria for reversion have been met (except that the Author need not have sent a request for reversion to the Publisher).

Posted in Article A3, Attachment A, Section A3.2(a), Section A3.2(a)(i), Section A3.2(a)(i)(3), Settlement | Comments closed

SA 03.2.1.1.2

(2) If the contract measures “in-print” by units sold or measures other than revenues, then an equivalent principle will be applied in determining whether this Test 1 has been met. The fact that a Book or information about a Book is included in a database or that information about the Book is provided in search […]

Posted in Article A3, Attachment A, Section A3.2, Section A3.2(a), Section A3.2(a)(i), Section A3.2(a)(i)(2), Settlement | Comments closed

SA 03.2.1.1.1

(1) If the contract measures “in-print” by reference to revenues and more than fifty percent (50%) of the revenues paid to a Publisher from exploitation of a Book are earned from the Revenue Models, then those revenues shall not be considered in determining whether this Test 1 has been met.

Posted in Article A3, Attachment A, Section A3.2, Section A3.2(a), Section A3.2(a)(i), Section A3.2(a)(i)(1), Settlement | Comments closed

SA 03.2.1.1

(i) Test 1: The author-publisher contract for the Book does not provide for reversion to the Author of rights in the Book under any circumstances, or the Book is “in-print” under the author-publisher contract. For this purpose, the Book may be “in-print”even if the contract does not use the term “in-print,” provided, however

Posted in Article A3, Attachment A, Section A3.2, Section A3.2(a), Section A3.2(a)(i), Settlement | Comments closed

SA 03.2.1

(a)A Book shall be classified as In-Print if it meets either of the following tests:

Posted in Article A3, Attachment A, Section A3.2(a), Settlement | Comments closed

SA 03.1

Initial Classification of a Book. Books that are initially classified as Commercially Available under the Settlement Agreement on the Notice Commencement-Procedures Governing Authorss and Publishers Date will be classified under these Procedures as In-Print Books, subject to Sections 3.2 and 3.3. Books that are initially classified under the Settlement Agreement on the Notice Commencement Date […]

Posted in Article A3, Attachment A, Section A3.1, Settlement | Comments closed

SA 02.2

Effective Date. The Author-Publisher Procedures are effective as of the Effective Date, provided, however, that if the Registry is operational prior to that date, an Author and a Publisher may, by mutual agreement, invoke the procedures set forth in these Author-Publisher Procedures.

Posted in Article A2, Attachment A, Section A2.2, Settlement | Comments closed

SA 02.1

Scope. Except as set forth in Article X, the terms of these Author-Publisher Procedures apply only to the rights and obligations under this Settlement Agreement with respect to Rightsholders’ Books.

Posted in Article A2, Attachment A, Section A2.1, Settlement | Comments closed

SA 02

SCOPE OF PROCEDURES

Posted in Article A2, Attachment A, Settlement | Comments closed

SA 01.6

Unless otherwise stated, all references herein to Articles and Sections refer to Articles and Sections of these Author-Publisher Procedures.

Posted in Article A1, Attachment A, Section A1.6, Settlement | Comments closed

SA 01.5

Publisher means a member of the Publisher Sub-Class.

Posted in Article A1, Attachment A, Section A1.5, Settlement | Comments closed

SA 01.4

Other Google Program means a Google program other than, but similar to, the Revenue Models, including, but not limited to, the Google Partner Program.

Posted in Article A1, Attachment A, Section A1.4, Settlement | Comments closed

SA 01.3

Educational Books means Books that, when published, were intended primarily for sale to educational markets (i.e., K-12, higher education, continuing education, vocational, professional, self-study, and similar educational markets) for use in educational programs.

Posted in Article A1, Attachment A, Section A1.3, Settlement | Comments closed

SA 01.2

Author means a member of the Author Sub-Class.

Posted in Article A1, Attachment A, Section A1.2, Settlement | Comments closed

SA 01.1

A capitalized term in these Author-Publisher Procedures shall have thesame meaning as set forth in the Settlement Agreement, unless otherwise provided.

Posted in Article A1, Attachment A, Section A1.1, Settlement | Comments closed

SA 01

Definitions; Cross-References

Posted in Article A1, Attachment A, Settlement | Comments closed

S 13.1.3.2.2

(2) for a Publisher Sub-Class member Claimant, whether (A) such Publisher Sub-Class member is highly confident that the Book is not reverted (based, e.g., on the individual Book or contract for the Book) or(B) such Publisher Sub-Class member is confident that the Book is not reverted (based, e.g., on the type of Book or type […]

Posted in Article 13, Section 13.1, Section 13.1(c), Section 13.1(c)(ii), Section 13.1(c)(ii)(2), Settlement | Comments closed

S 01.160

“United States” or “U.S.” means the states and territories, the District of Columbia, and the possessions of the United States of America.

Posted in Article 01, Section 1.160, Settlement | Comments closed

S 01.159

“Unclaimed Funds” means has the meaning set forth in Section 6.3(a)(Unclaimed Funds – Non-Subscription and Unclaimed Funds – Subscription).

Posted in Article 01, Section 1.159, Settlement | Comments closed

S 01.158

“Unclaimed Funds – Subscription” has the meaning set forth in Section 6.3(a)(ii) (Unclaimed Funds-Subscription Revenue Models).

Posted in Article 01, Section 1.158, Settlement | Comments closed

S 01.157

“Unclaimed Funds – Non-Subscription Works Fiduciary” has the meaning set forth in Section 6.3(a)(i) (Unclaimed Funds-Non-Subscription Revenue Models). 6.2(b) (Organizational Structure).

Posted in Article 01, Section 1.157, Settlement | Comments closed

S 01.156

“Unauthorized Access” means any display or reproduction in the United States by Google of any Digital Copy of a Book or Insert that is not authorized by this Amended Settlement Agreement or the Rightsholder.

Posted in Article 01, Section 1.156, Settlement | Comments closed

S 01.155

“Third-Party Unauthorized Access ” means any access (other than Prohibited Access) by any third party to any Digital Copy of a Book that is not authorized by this Amended Settlement Agreement, the applicable Library-Registry Agreement, or the applicable Host Site-Registry Agreement, and is not otherwise authorized by the Rightsholder.

Posted in Article 01, Section 1.155, Settlement | Comments closed

S 01.154

“Third-Party Required Library Services Provider” has the meaning set forth in Section 7.2(e)(ii) (Third-Party Required Library Services Provider).

Posted in Article 01, Section 1.154, Settlement | Comments closed

S 01.153

“Supplemental Deposit” has the meaning set forth in Section 5.3(c) (Supplemental Deposit).

Posted in Article 01, Section 1.153, Settlement | Comments closed

S 01.152

“Summary Notice” has the meaning set forth in Article XII (Class Notice Program).

Posted in Article 01, Section 1.152, Settlement | Comments closed

S 01.151

“Standard Revenue Split for Purchases” has the meaning set forth in Section 4.5(a)(iii) (Net Purchase Revenues).

Posted in Article 01, Section 1.151, Settlement | Comments closed

S 01.150

“Standard Revenue Split for Advertising” has the meaning set forth in Section 4.5(a)(ii) (Net Advertising Revenues).

Posted in Article 01, Section 1.150, Settlement | Comments closed

S 01.149

“Specified Price” has the meaning set forth in Section 4.2(b)(i)(1) (Specified Price).

Posted in Article 01, Section 1.149, Settlement | Comments closed

S 01.148

“Standard Preview” has the meaning set forth in Section 4.3(b)(i)(1) (Standard Preview).

Posted in Article 01, Section 1.148, Settlement | Comments closed

S 01.147

“Snippet Display” means uses that display to users of Google Products and Services up to three (3) “snippets” (each snippet being about three (3) to four (4) lines of text) per search term per user.

Posted in Article 01, Section 1.147, Settlement | Comments closed

S 01.146

“Settlement Website” has the meaning set forth in Article XII (Class Notice Program).

Posted in Article 01, Section 1.146, Settlement | Comments closed

S 01.145

“Settlement Fund ” means the Initial Settlement Deposit, the Final Settlement Deposit and the Supplemental Deposit, and all interest accrued thereon. The Settlement Fund will be held and administered in an account at the Depository Bank.

Posted in Article 01, Section 1.145, Settlement | Comments closed

S 01.144

“Settlement Discussions Confidentiality Agreement ” means the Settlement Discussions Confidentiality Agreement dated August 18, 2006 between Google andcertain representatives of Plaintiffs.

Posted in Article 01, Section 1.144, Settlement | Comments closed

S 01.143

“Settlement Controlled Price” has the meaning set forth in Section 4.2(b)(i)(2) (Settlement Controlled Price).

Posted in Article 01, Section 1.143, Settlement | Comments closed

S 01.142

“Settlement Class ” means all Persons that, as of the Notice Commencement Date, have a Copyright Interest in one or more Books or Inserts. All Settlement Class members are either members of the Author Sub-Class or the Publisher Sub-Class, or both. Excluded from the Settlement Class are Google, the members of Google’s Board of Directors […]

Posted in Article 01, Section 1.142, Settlement | Comments closed

S 01.141

“Settlement Agreement Date” means the date set forth at the end of this Settlement Agreement.

Posted in Article 01, Section 1.141, Settlement | Comments closed

S 01.140

“Settlement Agreement” means this agreement and all of its attachments, as each may be amended from time to time pursuant to Section 17.27 (Amendments). “Settlement Agreement” means the original Settlement Agreement and all of its attachments, as filed with the Court on October 28, 2008.

Posted in Article 01, Section 1.140, Settlement | Comments closed

S 01.139

“Settlement Administrator” means Rust Consulting, Inc.

Posted in Article 01, Section 1.139, Settlement | Comments closed

S 01.138

“Settlement Administration Program” means the Settlement administration program described in Article XIII (Settlement Administration Program).

Posted in Article 01, Section 1.138, Settlement | Comments closed

S 01.137

“Settlement” means the settlement of the Action as set forth in this Settlement Agreement.

Posted in Article 01, Section 1.137, Settlement | Comments closed

S 01.136

“Security Standard” means the security standard set forth in Attachment D (Security Standard).

Posted in Article 01, Section 1.136, Settlement | Comments closed

S 01.135

“Security Representatives” has the meaning set forth in Section 8.2(b) (Changes to Security Standard).

Posted in Article 01, Section 1.135, Settlement | Comments closed

S 01.134

“Security Implementation Plan” means an implementation plan describingthe processes and procedures that Google, a Fully Participating Library, or a Host Site, as the case may be, will employ in order to comply with the Security Standard.

Posted in Article 01, Section 1.134, Settlement | Comments closed

S 01.133

“Rightsholder Releasors” has the meaning set forth in Section 10.1(m) (Rightsholder Releasors).

Posted in Article 01, Section 1.133, Settlement | Comments closed

S 01.132

“Rightsholder” means a member of the Amended Settlement Class who does not opt out of the Settlement by the Supplemental Opt-Out Deadline.

Posted in Article 01, Section 1.132, Settlement | Comments closed

S 01.131

“Revenue ModelModels” means Institutional Subscriptions, Consumer Purchases,Advertising Uses, Public Access Service and any other revenue models agreed between the Registry and Google pursuant to Section 4.7 ( (NewAdditional Revenue Models).

Posted in Article 01, Section 1.131, Settlement | Comments closed

S 01.130

“Research Corpus” means a set of all Digital Copies of Books made inconnection with the Google Library Project, other than Digital Copies of Books that have been Removed by Rightsholders on or before April 5, 2011 pursuant to Section 3.5 (Right to Remove or Exclude) or withdrawn pursuant to Section 7.2(d)(iv) (Right to Withdraw Library […]

Posted in Article 01, Section 1.130, Settlement | Comments closed

S 01.129

“Research Agenda” means a document that describes a research project insufficient detail to demonstrate that it will be Non-Consumptive Research.

Posted in Article 01, Section 1.129, Settlement | Comments closed

S 01.128

“Required Library Services Requirement” means the requirement set forth in Section 7.2(e)(i)(Obligation).

Posted in Article 01, Section 1.128, Settlement | Comments closed

S 01.127

“Required Library Services” has the meaning set forth in Section 7.2(e)(i)(Obligation).

Posted in Article 01, Section 1.127, Settlement | Comments closed

S 01.126

“Requesting Fully Participating Library” has the meaning set forth in Section 7.2(b)(x)(1) (Fully Participating Libraries Hosting for Other Fully Participating Libraries).

Posted in Article 01, Section 1.126, Settlement | Comments closed

S 01.125

“Representative Plaintiffs” means the following Persons, who, subject to Court approval, represent the Author Sub-Class: Paul Dickson, Joseph Goulden, Daniel Hoffman, Betty Miles, and Herbert Mitgang, Maureen Duffy, Daniel Jay Baum, Margaret Drabble and Robert Pullan; and the following Persons, who, subject to Court approval, represent the Publisher Sub-Class: The McGraw-Hill Companies, Inc., Pearson Education, […]

Posted in Article 01, Section 1.125, Settlement | Comments closed

S 01.124

“Removed” means, with respect to a Book that is removed pursuant to Section 3.5(a) (Right to Remove) and subject to Section 3.5(b)(vi) (Continuing Obligations), that Digital Copies of such Book are not accessible (including through the Research Corpus), other than on back-up tapes or other electronic back-up storage media. ,“Remove” and “Removal” have corresponding meanings.

Posted in Article 01, Section 1.124, Settlement | Comments closed

S 01.123

“Registry” means the registry established pursuant to Article VI —(Establishment and Charter of Registry). In addition, the term “Registry” means the Settlement Administrator until such time as the Registry is fully operational.

Posted in Article 01, Section 1.123, Settlement | Comments closed

S 01.122

“Registered Rightsholder” means any Person who is a Rightsholder and who has registered with the Registry his, her or its Copyright Interest in a Book or Insert.

Posted in Article 01, Section 1.122, Settlement | Comments closed

S 01.121.4

(d) to the extent that an individual does not come within clauses (a) through (c) above in this Section 1.1211.123 (Qualified User), an individual may become a “Qualified User” by demonstrating to a Fully Participating Library or a Cooperating Library that he or she (directly or through the entities with which he or she is […]

Posted in Article 01, Section 1.121, Section 1.121(d), Settlement | Comments closed

S 01.121.3

(c) a United States governmental agency (federal, state or local); or

Posted in Article 01, Section 1.121, Section 1.121(c), Settlement | Comments closed

S 01.121.2

(b) a United States not-for-profit research organization, such as a museum, observatory or research lab;

Posted in Article 01, Section 1.121, Section 1.121(b), Settlement | Comments closed

S 01.121.1

(a) an accredited United States two (2)- or four (4)-year college or university;

Posted in Article 01, Section 1.121, Section 1.121(a), Settlement | Comments closed

S 01.121

“Qualified User” means a Person who (a) wishes to conduct Non- Consumptive Research, (b) is (i) affiliated with a Fully Participating Library or a Cooperating Library or (ii) a suitably qualified individual (1) who has the resources to perform such Non-Consumptive Research, (2) who has an affiliation described below, (3) who is pre-registered by a […]

Posted in Article 01, Section 1.121, Settlement | Comments closed

S 01.120

“Publisher Sub-Class” means members of the Amended Settlement Class that are (a) companies that publish books, and their exclusive licensees, successors and assignees, and (b) companies that publish Periodicals and have a Copyright Interest in one or more Inserts, and their exclusive licensees, successors, and assignees.

Posted in Article 01, Section 1.120, Settlement | Comments closed

S 01.119

“Public Library” means a library that (a) is accessible by the public, (b) is, or is part of, a not-for-profit or government-funded institution other than a not-for-profit or government-funded institution that is classified under the Carnegie Classification of Institutions of Higher Education, and (c) allows patrons to take books and other materials off the premises […]

Posted in Article 01, Section 1.119, Settlement | Comments closed

S 01.118

“Public Domain Library” means a library physically located in the United States and organized as or within a not-for-profit or government entity that (a) will not provide materials to Google for Digitization when it knows that those materials are Books, (b) agrees to delete or permanently render unusable promptly any Digital Copies of Books previously […]

Posted in Article 01, Section 1.118, Settlement | Comments closed

S 01.117

“Public Domain Funds” has the meaning set forth in Section 6.3(b) (Public Domain Funds).

Posted in Article 01, Section 1.117, Settlement | Comments closed

S 01.116

“Public Domain Book” means a written or printed work that would be a “Book” but for the work being in the public domain under the Copyright Act in the United States, without regard to whether such work contains an Insert; provided, however, that, if the work is a “United States work” as defined in 17 […]

Posted in Article 01, Section 1.116, Settlement | Comments closed

S 01.115

“Public Access Service” means a service provided by Google to each Public Library and each not-for-profit Higher Education Institution that allows users to search and view the entire then-current Institutional Subscription Database, as specifiedin and subject to Section 4.8 (Public Access Service).

Posted in Article 01, Section 1.115, Settlement | Comments closed

S 01.114

“Protected,” when used in connection with “works,” “material,” “Expression,” or “content” means works, material, Expression or content as to which a Person has a Copyright Interest under Section 106 of the Copyright Act, without giving effect to Sections 107 through 122 of the Copyright Act.

Posted in Article 01, Section 1.114, Settlement | Comments closed

S 01.113

“Prohibited Access” means reproduction or display by a Fully Participating Library or Host Site of any Digital Copy of a Book that is prohibited by the applicable Library-Registry Agreement or the applicable Host Site-Registry Agreement, and is not otherwise authorized by the Rightsholder.

Posted in Article 01, Section 1.113, Settlement | Comments closed

S 01.112

“Print Disability” means any condition in which a user is unable to read or use standard printed material due to blindness, visual disability, physical limitations, organic dysfunction, or dyslexia.

Posted in Article 01, Section 1.112, Settlement | Comments closed

S 01.111

“Principal Work” means a Book’s principal written work. A Principal Work can be a collective work, such as a collection of short stories or plays. A Book contains only one Principal Work but may contain other text, such as a foreword, afterword and annotations. A foreign language translation or an abridged version of a Principal […]

Posted in Article 01, Section 1.111, Settlement | Comments closed

S 01.110

“Pricing Strategy ” has the meaning set forth in Section 4.1(a)(vi) (Pricing Strategy).

Posted in Article 01, Section 1.110, Settlement | Comments closed

S 01.109

“Pricing Bin” has the meaning set forth in Section 4.2(c)(i) (Pricing Bins).

Posted in Article 01, Section 1.109, Settlement | Comments closed

S 01.108

“Pricing Algorithm” has the meaning set forth in Section 4.2(b)(i)(2) (Settlement Controlled Price).

Posted in Article 01, Section 1.108, Settlement | Comments closed

S 01.107

“Price Change Cut Off Date” has the meaning set forth in Section 4.1(a)(viii)(2) (Registry Proposed Adjustments).

Posted in Article 01, Section 1.107, Settlement | Comments closed

S 01.106

“Preview Uses” means uses that may display Protected material from a Book to users of Google Products and Services in addition to material that is allowed to be displayed in Snippet Display or Front Matter Display, as specified in and subject to Section 4.3 (Preview Uses).

Posted in Article 01, Section 1.106, Settlement | Comments closed

S 01.105

“Plan of Allocation” means the Plan of Allocation attached hereto as Attachment C (Plan of Allocation).

Posted in Article 01, Section 1.105, Settlement | Comments closed

S 01.104

“Plaintiffs” means Representative Plaintiffs and Associational Plaintiffs.

Posted in Article 01, Section 1.104, Settlement | Comments closed

S 01.103

“Person” means a natural person and any corporation, partnership, limited liability company, association, whether incorporated or not, and any other entity organized under [United States]https://nylssites.wpengine.com/thepublicindex/archives/category/settlement/s-1/s-1-160) federal or state law, or under foreign law.

Posted in Article 01, Section 1.103, Settlement | Comments closed

S 01.102

“Periodical” means a newspaper, magazine, comic book, or journal and any other publication (a) that is published at a stated frequency with the intent to continue publication indefinitely; (b) whose continuity shows from issue to issue (e.g., by serialization of articles or by successive issues carrying the same style, format, theme, or subject matter); (c) […]

Posted in Article 01, Section 1.102, Settlement | Comments closed

S 01.101

“Participating Libraries” means Fully Participating Libraries, Cooperating Libraries, Public Domain Libraries and Other Libraries.

Posted in Article 01, Section 1.101, Settlement | Comments closed

S 01.100

“Partial Insert” means an Insert other than an Entire Insert.

Posted in Article 01, Section 1.100, Settlement | Comments closed

S 01.099

“Other Library” means a library physically located within the United States and organized as or within a not-for-profit or government entity that has signed a Digitization Agreement with Google, but has not entered into a Library-Registry Agreement.

Posted in Article 01, Section 1.99, Settlement | Comments closed

S 01.098

“Opt-Out Deadline” means the deadline fixed by the Court to opt out of the Settlement pursuant to Rule 23 of the Federal Rules of Civil Procedure.

Posted in Article 01, Section 1.98, Settlement | Comments closed

S 01.097

“Online Book Page” means any page in Google Products and Services dedicated to a single Book, including any Preview Use page, any Snippet Display page, any page of a Book displayed in Google Products and Services, and search results pages resulting from a search within a single Book. Any general search results page in which […]

Posted in Article 01, Section 1.97, Settlement | Comments closed

S 01.096

“Online” means over the Internet or other data or communication network, with or without caching, through a browser or other computer program used for accessing sites or information on a network.

Posted in Article 01, Section 1.96, Settlement | Comments closed

S 01.095

“OCR” means optical character recognition.

Posted in Article 01, Section 1.95, Settlement | Comments closed

S 01.094

“Notice Commencement Date” means the first date of the Class Notice Program, as agreed between Plaintiffs and Google and approved by the Court.January 5, 2009.

Posted in Article 01, Section 1.94, Settlement | Comments closed

S 01.093

“Notice” has the meaning set forth in Article XII (Class Notice Program).

Posted in Article 01, Section 1.93, Settlement | Comments closed

S 01.092

“Not Counted Library Work” means any Library Work with respect to the Library Scan of which Google has reasonable quality, legal, or technical concerns that are not solely editorial-based concerns.

Posted in Article 01, Section 1.92, Settlement | Comments closed

S 01.091

“Non-Display Uses” means uses that do not display Expression from Digital Copies of Books or Inserts to the public. By way of example, display of bibliographic information, full-text indexing without display of Expression (such as listing the number or location of search matches), geographic indexing of Books, algorithmic listings of key terms for chapters of […]

Posted in Article 01, Section 1.91, Settlement | Comments closed

S 01.090.5

(e) Indexing and Search – Research on different techniques for indexing and search of textual content.

Posted in Article 01, Section 1.90, Section 1.90(e), Settlement | Comments closed

S 01.090.4

(d) Automated Translation – Research on techniques for translating works from one language to another.

Posted in Article 01, Section 1.90, Section 1.90(d), Settlement | Comments closed

S 01.090.3

(c) Linguistic Analysis – Research that performs linguistic analysis over the Research Corpus to understand language, linguistic use, semantics and syntax as they evolve over time and across different genres or other classifications of Books.

Posted in Article 01, Section 1.90, Section 1.90(c), Settlement | Comments closed

S 01.090.2

(b) Textual Analysis and Information Extraction – Automated techniques designed to extract information to understand or develop relationships among or within Books or, more generally, in the body of literature contained within the Research Corpus. This category includes tasks such as concordance development, collocation extraction, citation extraction, automated classification, entity extraction, and natural language processing.

Posted in Article 01, Section 1.90, Section 1.90(b), Settlement | Comments closed

S 01.090.1

(a) Image Analysis and Text Extraction – Computational analysis of the Digitized image artifact to either improve the image (e.g., de-skewing) or extracting textual or structural information from the image (e.g., OCR).

Posted in Article 01, Section 1.90, Section 1.90(a), Settlement | Comments closed

S 01.090

“Non-Consumptive Research” means research in which computational analysis is performed on one or more Books, but not research in which a researcher reads or displays substantial portions of a Book to understand the intellectual content presented within the Book. Categories of Non-Consumptive Research include:

Posted in Article 01, Section 1.90, Settlement | Comments closed

S 01.089

“No Preview” has the meaning set forth in Section 4.3(b)(ii) (No Preview).

Posted in Article 01, Section 1.89, Settlement | Comments closed

S 01.088

“No Display Books” are Books for which no Display Uses are authorized pursuant to this Amended Settlement Agreement.

Posted in Article 01, Section 1.88, Settlement | Comments closed

S 01.087

“Net Purchase Revenues” means, subject to Section 4.5(b) (Discounting, Special Offers and Subsidies) and Section 4.6(b) (Exceptions), the revenues actually received by Google from subscribers or purchasers within the U.S. from all Revenue Models other than Advertising Uses, less ten percent (10%) for Google’s operating costs.

Posted in Article 01, Section 1.87, Settlement | Comments closed

S 01.086

“Net Advertising Revenues” means, subject to Section 4.5(b) (Discounting, Special Offers and Subsidies) and Section 4.6(b) (Exceptions), the revenues actually received by Google for Advertising Uses displayed to U.S. users, less ten percent (10%) for Google’s operating costs.

Posted in Article 01, Section 1.86, Settlement | Comments closed

S 01.085

“Metadata” means data that describes other data (e.g., a library catalog of publications and the author, title, publisher, ISBN, and date of publication of the publications in the catalog are all types of Metadata).

Posted in Article 01, Section 1.85, Settlement | Comments closed

S 01.084

“List Price” means the then-current price for Institutional Subscriptions and Consumer Purchases determined in accordance with Sections 4.1 (Institutional Subscriptions) and 4.2 (Consumer Purchases), respectively.

Posted in Article 01, Section 1.84, Settlement | Comments closed

S 01.083

“Limited Subscription” means an Institutional Subscription offered to a library that allows the subscribing library access only to the Books Digitized from that library, or only to the Books held by that library.

Posted in Article 01, Section 1.83, Settlement | Comments closed

S 01.082

“Library Work” means a Book that a Fully Participating Library or a Cooperating Library makes available to Google, either in hard copy (not including microform) format to be Digitized, or in a form Digitized by or for such Fully Participating Library or Cooperating Library, for the Google Library Project.

Posted in Article 01, Section 1.82, Settlement | Comments closed

S 01.081

“Library Scan” means the Digital Copy of a Library Work Digitized by or for Google or by or for a Fully Participating Library or a Cooperating Library and received by Google, and all Digital Copies of such Digital Copy.

Posted in Article 01, Section 1.81, Settlement | Comments closed

S 01.080

“Library-Registry Agreement” means an agreement substantially similar in form to one of the agreements attached hereto as Attachment B (Form of Library- Registry Agreements) between the Registry and a Fully Participating Library, Cooperating Library or Public Domain Library. The Library-Registry (Fully Participating) Agreement attached hereto as Attachment B-1 is for Fully Participating Libraries. The Library-Registry […]

Posted in Article 01, Section 1.80, Settlement | Comments closed

S 01.079

“Library Link” means a link placed on pages in Google Book Search dedicated to a single Library Work that directs a user to existing Online sources, which, free of charge to the user (and with no out-of-pocket payments by Google to third-party providers of such sources), assists such user in finding that Library Work in […]

Posted in Article 01, Section 1.79, Settlement | Comments closed

S 01.078

“Library Digital Copy” or “LDC” means the set (or portion thereof) of all Digital Copies of Books in a Fully Participating Library’s Collection, which Digital Copies are made by copying the Library Scan (or are otherwise made pursuant to Section 7.2(a) (Making of Library Digital Copies)), and which Google provides to the Fully Participating Library.

Posted in Article 01, Section 1.78, Settlement | Comments closed

S 01.077

“Library Building” means a building physically located in the United States that, in whole or in part, is used by a Public Library and the part so used is predominantly used for the storage of, and access to, such Public Library library books or library services.

Posted in Article 01, Section 1.77, Settlement | Comments closed

S 01.076

“ISBN” means International Standard Book Number or, if and when ISBNs are no longer being issued, the number issued pursuant to any successor system used internationally to uniquely identify books and books-like products.

Posted in Article 01, Section 1.76, Settlement | Comments closed

S 01.075

“Institutional Subscription Database” has the meaning set forth in Section 4.1(a)(v) (Versions of Institutional Subscriptions).

Posted in Article 01, Section 1.75, Settlement | Comments closed

S 01.074

“Institutional Subscription” means any service of a limited duration provided by Google to an institution for a fee that allows Online access to and viewing of the full contents of the Institutional Subscription Database, as specified in and subject to Section 4.1 (Institutional Subscriptions).

Posted in Article 01, Section 1.74, Settlement | Comments closed

S 01.073

“Institutional Consortium” means a group of libraries, companies, institutions or other entities located within the United States that is a member of the International Coalition of Library Consortia with the exception of Online Computer Library Center (OCLC) – affiliated networks.

Posted in Article 01, Section 1.73, Settlement | Comments closed

S 01.072

“Insert” means the following content, if and to the extent such content is independently Protected by the Copyright Act and, if a “United States work” as defined in 17 U.S.C. § 101, is covered by a registration with the United States Copyright Office as of the Notice Commencement Date,January 5, 2009, either as a stand-alone […]

Posted in Article 01, Section 1.72, Settlement | Comments closed

S 01.071

“Initial Settlement Deposit” has the meaning set forth in Section 5.3(a) (Initial Settlement Deposit).

Posted in Article 01, Section 1.71, Settlement | Comments closed

S 01.070

“Inconsequential Breach” means a breach that (a) is not the result of reckless, willful or intentional misconduct by Google, a Host Site or a Fully Participating Library, (b) does not lead to, or present an immediate risk of, any Unauthorized Access, Prohibited Access or Third-Party Unauthorized Access, (c) does not represent an extensive or systematic […]

Posted in Article 01, Section 1.70, Settlement | Comments closed

S 01.069

“Hosting Fully Participating Library” has the meaning set forth in Section 7.2(b)(ixx)(1) (Fully Participating Libraries Hosting for Other Fully Participating Libraries).

Posted in Article 01, Section 1.69, Settlement | Comments closed

S 01.068

“Host Site-Registry Agreement ” has the meaning set forth in Section7.2(d)(ii) (Host Sites).

Posted in Article 01, Section 1.68, Settlement | Comments closed

S 01.067

“Host Site” means an institution authorized under this Amended Settlement Agreement to host the Research Corpus pursuant to the requirements of Section 7.2(d)(ii) (Host Sites).

Posted in Article 01, Section 1.67, Settlement | Comments closed

S 01.066

“Higher Education Institution” means an Institution of Higher Education, as defined by the Carnegie Classifications of Institutions of Higher Education from time to time or, if and when the Carnegie Foundation for the Classification of Teaching is no longer classifying colleges and universities in the United States, as such term or its successor term is […]

Posted in Article 01, Section 1.66, Settlement | Comments closed

S 01.065

“Gross Revenues” has the meaning set forth in Section 6.3(a)(i) (Unclaimed Funds-Non-Subscription Revenue Models).

Posted in Article 01, Section 1.65, Settlement | Comments closed

S 01.064

“Government Works” means written or printed works covered by Section 105 of the Copyright Act or state law equivalents thereto.

Posted in Article 01, Section 1.64, Settlement | Comments closed

S 01.063

“Google Products and Services” means any and all products and services offered to the public by Google directly or indirectly through third parties from time to time, now or in the future, whereby Google makes information accessible to a user Online, using any means and any technology, whether now known or hereafterdeveloped. Google Products and […]

Posted in Article 01, Section 1.63, Settlement | Comments closed

S 01.062

“Google Partner Program” means the program(s) pursuant to which Persons who have Copyright Interests in works contract with Google (other than by operation of this Amended Settlement Agreement to grant to Google the right to include such works in GBS, whatever such program(s) may be called by Google from time to time.

Posted in Article 01, Section 1.62, Settlement | Comments closed

S 01.061

“Google Library Project” or the “GLP” means the program(s) pursuant to which Google obtains Books and other works from libraries or other sources (including through Books drives, from Rightsholders directly or elsewhere, but not including the Google Partner Program, for the purposes of Digitizing them (if not obtained in Digitizing form) and including them in […]

Posted in Article 01, Section 1.61, Settlement | Comments closed

S 01.060

“Google Book Search,” or “GBS,” means the program(s) pursuant to which Google, having Digitized works obtained pursuant to the Google Partner Program, the GLP or other means authorized by the Book’s Rightsholder or the Registry (or having obtained works in Digitized form through such programs or other means authorized by the Book’s Rightsholder or the […]

Posted in Article 01, Section 1.60, Settlement | Comments closed

S 01.059

“Google” means Google Inc. and its Affiliates.

Posted in Article 01, Section 1.59, Settlement | Comments closed

S 01.058

“Fully Participating Library” means a library physically located within the United States and organized as or within a not-for-profit or government entity that (a) has signed or signs a Digitization Agreement with Google not later than two (2) years after the Effective Date (unless an extension of such time is approved by the Registry and […]

Posted in Article 01, Section 1.58, Settlement | Comments closed

S 01.057

“Front Matter Display” means the display to users of Google Products and Services of one or more of the title page, copyright page, table of contents, other pages that appear prior to the table of contents at the front of the Book, and indexes of a Book.

Posted in Article 01, Section 1.57, Settlement | Comments closed

S 01.056

“Fixed Preview” has the meaning set forth in Section 4.3(b)(iii) (Fixed Preview).

Posted in Article 01, Section 1.56, Settlement | Comments closed

S 01.055

“Final Settlement Deposit” has the meaning set forth in Section 5.3(b) (Final Settlement Deposit).

Posted in Article 01, Section 1.55, Settlement | Comments closed

S 01.054

“Final Fairness Hearing” has the meaning set forth in Article XIV (Final Fairness Hearing).

Posted in Article 01, Section 1.54, Settlement | Comments closed

S 01.053

“Final Approval Date” means the date the Court has certified the Amended Settlement Class and approved this Amended Settlement Agreement in all respects, pursuant to Rule 23 of the Federal Rules of Civil Procedure.

Posted in Article 01, Section 1.53, Settlement | Comments closed

S 01.052

“Fiction” has the meaning set forth in Section 4.3(b)(i)(1) (Standard Preview).

Posted in Article 01, Section 1.52, Settlement | Comments closed

S 01.051

“Expression” means either (a) Protected expression, which, in the case of text, means no fewer than three (3) contiguous words, or (b) any contiguous set of ten (10) or more words from a Book or Insert, not counting expression that is not Protected.

Posted in Article 01, Section 1.51, Settlement | Comments closed

S 01.050

“Entire Insert” means an Insert that is an entire work, including forewords, afterwords, introductions, entire works included in anthologies, and entire poems, short stories, song lyrics or essays.

Posted in Article 01, Section 1.50, Settlement | Comments closed

S 01.049

“Effective Date” means the first date upon which each and all of the following events shall have occurred: (a) the Final Approval Date has occurred; (b) the Court has entered the Final Judgment and Order of Dismissal with prejudice as to Google against Plaintiffs and all Rightsholders; and (c) the time for any appeal from […]

Posted in Article 01, Section 1.49, Settlement | Comments closed

S 01.048

“Display Uses” means the following: Snippet Display, Front Matter Display, Access Uses and Preview Uses.

Posted in Article 01, Section 1.48, Settlement | Comments closed

S 01.047

“Display Books” means Books for which one or more Display Uses are authorized pursuant to this Amended Settlement Agreement.

Posted in Article 01, Section 1.47, Settlement | Comments closed

S 01.046

“Digitize” means to convert a work from a hard copy (not including microform) format into an electronic representation, using any means and any technology, whether now known or hereafter developed, including making necessary technical adaptations to achieve such conversion (but not including adapting or altering the content of such written work). “Digitization,” “Digitizing” and “Digitized” […]

Posted in Article 01, Section 1.46, Settlement | Comments closed

S 01.045

“Digitization Agreement” means an agreement between Google and a library to Digitize works held by that library, as such agreement may be amended from time to time.

Posted in Article 01, Section 1.45, Settlement | Comments closed

S 01.044

“Digital Copy” of a Book or Insert means a set (or portion thereof) of electronic files created by or for Google or provided to Google59) in connection with [GBS](nylssites.wpengine.com/thepublicindex/archives/category/settlement/s-1/s-1-60, including the image files of the individual pages of the Book or Insert along with text (currently generated from OCR technology), coordinate information for the text, […]

Posted in Article 01, Section 1.44, Settlement | Comments closed

S 01.043

“Designated Representative” means a Person designated from time to time by the Fully Participating Libraries and the Cooperating Libraries pursuant to Attachment 1 to Exhibit C of the Library-Registry (Fully Participating) Agreement and Attachment 1 to Exhibit C of the Library-Registry (Cooperating) Agreement (Selection of Designated Representative and Security Representatives and Establishment of Governance Rules) […]

Posted in Article 01, Section 1.43, Settlement | Comments closed

S 01.042

“Depository Bank” means Citizens Bank.

Posted in Article 01, Section 1.42, Settlement | Comments closed

S 01.041

“Decision” has the meaning set forth in Section 9.7 (Decision).

Posted in Article 01, Section 1.41, Settlement | Comments closed

S 01.040

“Court” means the U.S. District Court for the Southern District of New York.

Posted in Article 01, Section 1.40, Settlement | Comments closed

S 01.039

“Coupling Requirement” has the meaning set forth in Section 3.5(b)(iii) (Coupling Requirement).

Posted in Article 01, Section 1.39, Settlement | Comments closed

S 01.038

“Copyright Interest” means (a) ownership (including joint ownership) of a United States copyright interest or (b) an exclusive license of a United States copyright interest, in each case only if and to the extent the interest is implicated by a use that is authorized or for which compensation could be payable under this Settlement Agreement.

Posted in Article 01, Section 1.38, Settlement | Comments closed

S 01.037

“Copyright Act” means the Copyright Act of 1976, as amended, 17 U.S.C. § 101 et seq.

Posted in Article 01, Section 1.37, Settlement | Comments closed

S 01.036

“Cooperating Library” means any library physically located in the UnitedStates and organized as or within a not-for-profit or government entity that (a) has signed or signs a Digitization Agreement with Google not later than two (2) years after the Effective Date (unless an extension of such time is approved by the Registry), (b) provides Books […]

Posted in Article 01, Section 1.36, Settlement | Comments closed

S 01.035

“Continuous Preview” has the meaning set forth in Section 4.3(c)(iii) (Continuous Preview).

Posted in Article 01, Section 1.35, Settlement | Comments closed

S 01.034

“Contemplated Rightsholder Services” means Consumer Purchases and Institutional Subscriptions.

Posted in Article 01, Section 1.34, Settlement | Comments closed

S 01.033

“Consumer Subscription” has the meaning set forth in Section 4.7(d) (Consumer Subscription Models).

Posted in Article 01, Section 1.33, Settlement | Comments closed

S 01.032

“Consumer Purchase” and “Consumer Purchases” mean a service provided by Google that allows a user, for a fee, to access and view Online the full contents of a Display Book, as specified in and subject to Section 4.2 (Consumer Purchases).

Posted in Article 01, Section 1.32, Settlement | Comments closed

S 01.031

“Consumer Price Index ” has the meaning set forth in Section 8.2(c)(iii) (Adjustment to Audit Costs).

Posted in Article 01, Section 1.31, Settlement | Comments closed

S 01.030

“Confidential Information ” has the meaning set forth in Section 15.1 (Confidential Information).

Posted in Article 01, Section 1.30, Settlement | Comments closed

S 01.029

“Competent Authority” means an individual who is employed in one of the professional occupations that is qualified to diagnose Print Disabilities under the federal law and regulations that govern the National Library Service for the Blind and Physically Handicapped or is licensed or otherwise certified or authorized under applicable state law or regulations to diagnose […]

Posted in Article 01, Section 1.29, Settlement | Comments closed

S 01.028

“Commercially Available” means, with respect to a Book, that theRightsholder of such Book, or such Rightsholder’s designated agent, is, at the time in question, offering the Book (other than as derived from a Library Scan) for sale new, from sellers anywhere in the world, through one or more then-customary channels of trade into purchases within […]

Posted in Article 01, Section 1.28, Settlement | Comments closed

S 01.027

“Collection” means the Books held by a Fully Participating Library or aCooperating Library that have been Digitized or are targeted for Digitization pursuant to a Digitization Agreement between Google and such Fully Participating Library or such Cooperating Library, which Books may be some or all of such Fully Participating Library’s or such Cooperating Library’s holdings.

Posted in Article 01, Section 1.27, Settlement | Comments closed

S 01.026

“Class Notice Program” means the class notice program described in Article XII (Class Notice Program).

Posted in Article 01, Section 1.26, Settlement | Comments closed

S 01.025

“Class Counsel” means the firms of Boni & Zack LLC, Milberg LLP, and Kohn, Swift & Graf, PC, as counsel for the Author Sub-Class, and the firm of Debevoise & Plimpton LLP, as counsel for the Publisher Sub-Class.

Posted in Article 01, Section 1.25, Settlement | Comments closed

S 01.024

“Claimant” has the meaning set forth in Section 13.1 (Registration and Completing Claims).

Posted in Article 01, Section 1.24, Settlement | Comments closed

S 01.023

“Claim Form” has the meaning set forth in Section 13.1 (Registration and Completing Claims).

Posted in Article 01, Section 1.23, Settlement | Comments closed

S 01.022

“Claim” has the meaning set forth in Section 10.1(a) (Claim).

Posted in Article 01, Section 1.22, Settlement | Comments closed

S 01.021

“Charter” means the certificate of incorporation and bylaws of the Registry.

Posted in Article 01, Section 1.21, Settlement | Comments closed

S 01.020

“Cash Payment” has the meaning set forth in Section 5.1(a) (Cash Payments).

Posted in Article 01, Section 1.20, Settlement | Comments closed

S 01.019

“Business Day” means any day other than Saturday, Sunday, New Year’s Day, the observance of the Birthday of Martin Luther King, Jr., Presidents’ Day, Memorial Day, Independence Day, Labor Day, Columbus Day, Veterans Day, Thanksgiving Day, Christmas Day and any other day appointed as a federal or New York state holiday.

Posted in Article 01, Section 1.19, Settlement | Comments closed

S 01.018

“Books Database ” has the meaning set forth in Section 3.1(b)(ii) (Books Database).

Posted in Article 01, Section 1.18, Settlement | Comments closed

S 01.017

“Book Annotation” means user-generated text that is both (a) associated with the content on the page of a Book and (b) displayed on or over any web page on which a page of a Book appears.

Posted in Article 01, Section 1.17, Settlement | Comments closed

S 01.016

“Book” means a written or printed work that (a) if a “United States work,” as defined in 17 U.S.C. § 101, has been registered with the United States Copyright Office as of the Notice Commencement Date, (b) on or before the Notice Commencement Date, was as of January 5, 2009 (a) had been published or […]

Posted in Article 01, Section 1.16, Settlement | Comments closed

S 01.015

“Author-Publisher Procedures” means the document attached hereto as Attachment A (Procedures Governing Author Sub-Class and Publisher Sub-Class Under the Amended Settlement Agreement).

Posted in Article 01, Section 1.15, Settlement | Comments closed