TreatiseTreatise

Technology Transactions: A Practical Guide to Drafting and Negotiating Commercial Agreements

 by Mark G. Malven
 
 Copyright: 2015-2019
 Last Updated: May 2019

 Product Details >> 

Product Details

  • ISBN Number: 9781402423703
  • Page Count: 704
  • Number of Volumes: 1
  •  

Technology Transactions: A Practical Guide to Drafting and Negotiating Commercial Agreements is an indispensable guide that empowers practitioners to draft, review, and negotiate technology transaction agreements. The book's first nine chapters identify and discuss several discrete types of agreements, including:

  • Software license agreements
  • Software development and other IT agreements
  • Reseller agreements
  • Cloud computing agreements
  • Domain name transactions
  • Technology licensing and IP-centric joint ventures
  • Technology escrow agreements
  • Non-disclosure agreements
  • Employee agreements

The remaining chapters cover areas of knowledge that should inform your drafting or review of technology transaction documents generally, such as the Digital Millennium Copyright Act, state transactions laws, open source software, and numerous privacy considerations.

Technology Transactions also comes with a USB flash drive containing editable versions of the sample agreements that appear throughout the book.

  Table of Contents
  Preface
Chapter 1: Software License Agreements; and Appendices 1A-1B
  • § 1:1 : Introduction1-2
  • § 1:2 : Scope of License Rights1-3
    • § 1:2.1 : License Grant1-3
    • § 1:2.2 : Limitations on the License Grant1-3
    • § 1:2.3 : Use of Functional Language1-4
    • § 1:2.4 : Commonly Understood Terms (That Really Are Not)1-5
    • § 1:2.5 : Backup Copies1-5
    • § 1:2.6 : Defined Terms1-5
    • § 1:2.7 : Subsequent Refinements1-5
  • § 1:3 : Protection of Intellectual Property Rights1-6
    • § 1:3.1 : Vendor Ownership of Off-the-Shelf Software1-6
    • § 1:3.2 : Customer Ownership of Data1-6
    • § 1:3.3 : Reverse-Engineering1-6
  • § 1:4 : Taxes1-7
  • § 1:5 : Certification and Audit Rights1-8
  • § 1:6 : Warranties1-8
    • § 1:6.1 : Software Performance1-8
    • § 1:6.2 : System Warranties1-9
    • § 1:6.3 : Quality of Services1-9
    • § 1:6.4 : Viruses and Limiting Routines1-9
    • § 1:6.5 : Compliance with Laws1-9
    • § 1:6.6 : Data Security and Privacy1-10
    • § 1:6.7 : Free and Open Source Software1-10
    • § 1:6.8 : Other Warranties1-11
    • § 1:6.9 : Remedies1-12
    • § 1:6.10 : Disclaimers1-12
      • [A] : Generally1-12
      • [B] : Title and Noninfringement1-13
    • § 1:6.11 : Magnuson-Moss Warranty Act1-13
  • § 1:7 : Implementation and Acceptance1-14
  • § 1:8 : Indemnification for Infringement or Misappropriation of Intellectual Property1-14
    • § 1:8.1 : Scope1-15
    • § 1:8.2 : Exclusions/Limitations1-15
    • § 1:8.3 : Terminology: “Indemnify,” “Defend,” and “Hold Harmless”1-16
  • § 1:9 : Limitations of Liability1-18
    • § 1:9.1 : Dollar Cap1-18
    • § 1:9.2 : Exclusion of Consequential and Other Types of Damages1-18
  • § 1:10 : Termination1-22
  • § 1:11 : Licensee Transferability Rights1-23
  • § 1:12 : Bankruptcy-Related Issues1-25
    • § 1:12.1 : Applicable Bankruptcy Principles1-25
      • [A] : Unenforceability of Ipso Facto Clauses1-25
      • [B] : Assignment and Assumption of Executory Contracts1-25
      • [C] : Unenforceability of Anti-Assignment Language1-26
      • [D] : Avoidance of Transfers1-26
    • § 1:12.2 : Bankruptcy of the Customer1-26
      • [A] : Protections for Vendors1-26
      • [B] : Potential Consequences for the Customer1-27
    • § 1:12.3 : Bankruptcy of the Vendor1-27
      • [A] : Protections for Customers1-27
      • [B] : Limitations of Bankruptcy Code Section 365(n)1-27
    • § 1:12.4 : Technology Escrow Agreements1-28
  • § 1:13 : Secured Creditors1-28
    • § 1:13.1 : Security Interests in Licensed IP1-28
    • § 1:13.2 : Nonexclusive Licensees in the Ordinary Course1-28
    • § 1:13.3 : Mitigating Secured Creditor Risks1-29
  • § 1:14 : Other Provisions1-30
    • § 1:14.1 : Force Majeure/Disaster Recovery1-30
    • § 1:14.2 : Price Protection1-30
    • § 1:14.3 : Export Regulations1-30
  • Appendix 1A : Software License Agreement (Vendor-Favorable)App.1A-1
  • Appendix 1B : Product Evaluation AgreementApp. 1B-1
Chapter 2: Software Development and Other IT Services Agreements; and Appendices 2A-2B
  • § 2:1 : Introduction2-2
  • § 2:2 : Overview: The Setting and the Players2-2
  • § 2:3 : Statements of Work: Setting Forth the “Five W’s”2-3
  • § 2:4 : Acceptance Process2-4
  • § 2:5 : Fees and Taxes2-5
  • § 2:6 : Intellectual Property Rights2-5
    • § 2:6.1 : Categories of Intellectual Property Rights2-6
    • § 2:6.2 : Ownership of Custom Software2-6
    • § 2:6.3 : Work-for-Hire Doctrine2-7
    • § 2:6.4 : Choice of Governing Law2-7
    • § 2:6.5 : Confidential Information2-8
  • § 2:7 : Vendor Personnel2-8
  • § 2:8 : Insurance2-8
  • § 2:9 : Term and Termination2-8
    • § 2:9.1 : Software Development Agreements2-8
    • § 2:9.2 : Ongoing IT Services Agreements2-9
    • § 2:9.3 : Termination for Cause2-9
    • § 2:9.4 : Effects of Termination2-9
  • § 2:10 : Vendor Warranties2-10
    • § 2:10.1 : Commonly Included Warranties2-10
      • [A] : Software Performance2-10
      • [B] : System Warranties2-10
      • [C] : Quality of Services2-10
      • [D] : Due Authority2-11
      • [E] : Compliance with Laws2-11
      • [F] : Data Security and Privacy2-11
      • [G] : Free and Open Source Software2-12
      • [H] : Viruses and Limiting Devices/Routines2-13
      • [I] : Other Warranties2-13
    • § 2:10.2 : Remedies2-13
    • § 2:10.3 : Disclaimers2-13
      • [A] : Generally2-13
      • [B] : Title and Noninfringement2-14
  • § 2:11 : Service Levels2-15
  • § 2:12 : Indemnification2-15
    • § 2:12.1 : Types of Indemnification2-15
    • § 2:12.2 : Infringement or Misappropriation of Intellectual Property2-16
      • [A] : Scope2-16
      • [B] : Exclusions/Limitations2-16
    • § 2:12.3 : Terminology: “Indemnify,” “Defend,” and “Hold Harmless”2-17
  • § 2:13 : Limitations of Liability2-19
    • § 2:13.1 : Dollar Cap2-19
    • § 2:13.2 : Exclusion of Consequential and Other Types of Damages2-20
  • Appendix 2A : Short-Form Services Agreement (Vendor-Favorable)App. 2A-1
  • Appendix 2B : Short-Form Services Agreement (Customer-Favorable)App. 2B-1
Chapter 3: Reseller Agreements; and Appendices 3A-3C
  • § 3:1 : Introduction3-2
  • § 3:2 : Scope of Relationship3-3
    • § 3:2.1 : Terminology3-3
    • § 3:2.2 : Subject Matter3-3
    • § 3:2.3 : Exclusivity3-4
    • § 3:2.4 : Geographical or Industry Limitations3-5
    • § 3:2.5 : Licensing Structure3-5
    • § 3:2.6 : Branding3-5
    • § 3:2.7 : Sales and Marketing Efforts3-5
    • § 3:2.8 : Product Development and Support3-6
    • § 3:2.9 : International Considerations3-6
    • § 3:2.10 : Prohibitions on Delegation and Assignment3-7
    • § 3:2.11 : Defined Terms3-7
    • § 3:2.12 : Subsequent Amendments3-7
  • § 3:3 : Sample Reseller Duties3-8
  • § 3:4 : Term of Relationship3-9
    • § 3:4.1 : Initial Length and Renewal3-9
    • § 3:4.2 : Termination3-10
      • [A] : Termination Rights3-10
      • [B] : Consequences of Termination3-10
  • § 3:5 : Price and Payment3-10
    • § 3:5.1 : Resale Price Maintenance Agreements3-10
    • § 3:5.2 : Price Discrimination (Robinson-Patman Act Violations)3-12
    • § 3:5.3 : Price Protection3-13
    • § 3:5.4 : Tax Treatment3-13
  • § 3:6 : Audit Rights3-13
  • § 3:7 : Compliance with Laws3-14
    • § 3:7.1 : Generally3-14
    • § 3:7.2 : Data Security and Privacy3-14
    • § 3:7.3 : Export Regulations3-15
  • § 3:8 : Warranties3-15
    • § 3:8.1 : Product Performance3-15
    • § 3:8.2 : Quality of Services3-16
    • § 3:8.3 : Other Warranties3-16
    • § 3:8.4 : End User Warranties3-16
  • § 3:9 : Protection of Intellectual Property Rights3-16
    • § 3:9.1 : Supplier Ownership of Off-the-Shelf Software3-16
    • § 3:9.2 : Reverse-Engineering3-17
    • § 3:9.3 : Confidential Information3-18
  • § 3:10 : Indemnification3-18
    • § 3:10.1 : Types of Indemnification3-18
    • § 3:10.2 : Infringement or Misappropriation of Intellectual Property3-18
      • [A] : Scope3-18
      • [B] : Exclusions/Limitations3-19
    • § 3:10.3 : Terminology: “Indemnify,” “Defend,” and “Hold Harmless”3-19
  • § 3:11 : Limitations of Liability3-21
    • § 3:11.1 : Dollar Cap3-21
    • § 3:11.2 : Exclusion of Consequential and Other Types of Damages3-21
  • § 3:12 : Bankruptcy-Related Issues3-25
    • § 3:12.1 : Applicable Bankruptcy Principles3-25
      • [A] : Unenforceability of Ipso Facto Clauses3-25
      • [B] : Assignment and Assumption of Executory Contracts3-26
      • [C] : Unenforceability of Anti-Assignment Language3-26
      • [D] : Avoidance of Transfers3-26
    • § 3:12.2 : Bankruptcy of the Reseller3-26
      • [A] : Protections for Suppliers3-26
      • [B] : Potential Consequences for the Reseller3-28
    • § 3:12.3 : Bankruptcy of the Supplier3-28
      • [A] : Protections for Resellers3-28
      • [B] : Limitations of Bankruptcy Code Section 365(n)3-28
  • Appendix 3A : Authorized Reseller AgreementApp. 3A-1
  • Appendix 3B : Referral Partner AgreementApp. 3B-1
  • Appendix 3C : Distribution AgreementApp. 3C-1
Chapter 4: Cloud Computing Agreements
  • § 4:1 : Introduction4-2
  • § 4:2 : Cloud Computing4-3
    • § 4:2.1 : Cloud Computing Defined4-3
    • § 4:2.2 : Cloud Deployment Models4-4
      • [A] : Private Cloud4-4
      • [B] : Public Cloud4-5
      • [C] : Community Cloud4-5
      • [D] : Hybrid Cloud4-5
    • § 4:2.3 : Cloud Services4-5
      • [A] : Software As a Service (SaaS)4-5
      • [B] : Platform As a Service (PaaS)4-5
      • [C] : Infrastructure As a Service (IaaS)4-6
      • [D] : Business Process As a Service (BPaaS)4-6
    • § 4:2.4 : Determine Whether CSP Uses a “Shared Responsibility” Cloud Model4-6
  • § 4:3 : Pre-Contract Considerations4-7
    • § 4:3.1 : Business Goals4-7
    • § 4:3.2 : Cloud Use and Risk Management4-8
    • § 4:3.3 : The “Cloud Team”4-8
    • § 4:3.4 : Due Diligence4-9
      • [A] : Security, Privacy, Jurisdictional Concerns4-9
      • [B] : Data Access and Control4-10
      • [C] : Regulatory Requirements/Compliance4-12
      • [D] : Intellectual Property Ownership/Use of Data4-12
      • [E] : Due Diligence Tools and Strategies4-15
      • [F] : Third-Party Services/Contractors4-17
  • § 4:4 : Negotiating Cloud Computing Agreements4-19
    • § 4:4.1 : Significant Cloud Contract Issues4-19
    • § 4:4.2 : Limitation of Liability4-22
    • § 4:4.3 : Indemnification4-23
    • § 4:4.4 : Service Levels and Service Credits4-24
  • Figure 4-1 : Support/Service Desk SLAs: Uptime Percentages4-28
    • § 4:4.5 : Security and Privacy4-31
    • § 4:4.6 : Standards for Tracking and Auditing Data in the Cloud4-33
      • [A] : SSAE 164-35
      • [B] : SOC Reports4-35
      • [C] : SOC 3 Reports4-36
      • [D] : ISO 27000 Standards4-36
      • [E] : Federal Risk and Authorization Management Program (FedRAMP)4-38
      • [F] : U.S. Regulations and Industry Standards4-38
      • [G] : Audit and Security Standards—Sample Provision4-39
    • § 4:4.7 : Preservation/Production of Data in Litigation or Investigations4-40
    • § 4:4.8 : Pricing4-41
    • § 4:4.9 : Tax Considerations4-44
    • § 4:4.10 : Term and Termination4-44
  • § 4:5 : Government Agency Cloud Procurement4-46
Chapter 5: Domain Name Transactions; and Appendices 5A-5B
  • § 5:1 : Introduction5-1
  • § 5:2 : Pre-Contract Considerations5-2
    • § 5:2.1 : Gathering Background Information5-2
      • [A] : Ownership History5-2
      • [B] : Use History5-4
      • [C] : Unknown Unknowns5-4
    • § 5:2.2 : Spam Issues5-4
    • § 5:2.3 : Trademark Issues5-5
  • § 5:3 : Payment Considerations5-5
    • § 5:3.1 : Escrow Process and Fees5-6
    • § 5:3.2 : Ownership During Pay-Out Period5-6
  • § 5:4 : Transfer Considerations5-8
  • § 5:5 : Warranties5-9
    • § 5:5.1 : Seller’s Warranties5-9
    • § 5:5.2 : Buyer’s Warranties5-10
  • § 5:6 : Indemnification5-11
  • § 5:7 : Other Terms5-11
  • Appendix 5A : Internet Domain Name Purchase AgreementApp. 5A-1
  • Appendix 5B : Internet Domain Name Escrow AgreementApp. 5B-1
Chapter 6: Technology Licenses and IP-Centric Joint Ventures
  • § 6:1 : Introduction6-3
  • § 6:2 : License Grants6-3
    • § 6:2.1 : General Principles6-3
    • § 6:2.2 : Key Drafting Tips6-4
      • [A] : Contents and Placement6-4
      • [B] : Typical Licensing Terms6-4
      • [C] : Defined Terms6-5
      • [D] : Presently Effective Grant6-5
      • [E] : Subsequent Refinements6-5
    • § 6:2.3 : Parties6-6
    • § 6:2.4 : Additional Considerations for Exclusive Licenses6-6
  • § 6:3 : Royalty and Financial Terms6-7
    • § 6:3.1 : Royalty Structures6-7
    • § 6:3.2 : Royalty Base6-7
    • § 6:3.3 : Scope Considerations6-8
    • § 6:3.4 : Special Dispositions6-8
    • § 6:3.5 : Audit Rights6-9
    • § 6:3.6 : Tax and Currency Issues6-9
  • § 6:4 : Developed Intellectual Property6-10
    • § 6:4.1 : Ownership Options6-10
      • [A] : Vertical Relationships6-10
      • [B] : Collaborative Relationships6-10
    • § 6:4.2 : Joint Ownership6-11
      • [A] : Creation of Joint Ownership6-11
      • [B] : The Problems with Joint Ownership6-12
  • Figure 6-1 : Exploiting Patents6-13
  • Figure 6-2 : Exploiting Copyrights6-13
  • § 6:5 : Protection and Enforcement of Intellectual Property Rights6-14
    • § 6:5.1 : Standing6-15
    • § 6:5.2 : Control and Financial Terms6-16
  • § 6:6 : Termination6-17
  • § 6:7 : Licensee Transferability6-17
    • § 6:7.1 : General Rules Regarding Transferability6-17
    • § 6:7.2 : Transferability of Nonexclusive Patent and Copyright Licenses6-18
    • § 6:7.3 : Transferability of Exclusive Patent and Copyright Licenses6-19
    • § 6:7.4 : Transferability of Trade Secret Licenses6-19
    • § 6:7.5 : Avoiding Transaction Surprises6-19
  • § 6:8 : Bankruptcy-Related Issues6-21
    • § 6:8.1 : Applicable Bankruptcy Principles6-21
      • [A] : Unenforceability of Ipso Facto Clauses6-21
      • [B] : Assignment and Assumption of Executory Contracts6-21
      • [C] : Unenforceability of Anti-Assignment Language6-22
      • [D] : Avoidance of Transfers6-22
    • § 6:8.2 : Bankruptcy of the Licensee6-23
      • [A] : Protections for Licensors6-23
      • [B] : Transferability of Nonexclusive Patent and Copyright Licenses6-23
      • [C] : Transferability of Exclusive Patent and Copyright Licenses6-23
      • [D] : Transferability of Trade Secret Licenses6-23
      • [E] : Potential Consequences for the Licensee6-24
    • § 6:8.3 : Bankruptcy of the Licensor6-24
      • [A] : Protections for Licensees6-24
      • [B] : Limitations of Bankruptcy Code Section 365(n)6-25
  • § 6:9 : Secured Creditors6-25
    • § 6:9.1 : Security Interests in Licensed IP6-25
    • § 6:9.2 : Nonexclusive Licensees in the Ordinary Course6-25
    • § 6:9.3 : Mitigating Secured Creditor Risks6-26
  • § 6:10 : Other Provisions6-27
    • § 6:10.1 : Warranties6-27
    • § 6:10.2 : Limitations of Liability6-27
      • [A] : Dollar Caps6-27
      • [B] : Exclusion of Consequential and Other Types of Damages6-27
    • § 6:10.3 : Confidential Information6-31
Chapter 7: Technology Escrow
  • § 7:1 : Introduction7-2
  • § 7:2 : Source Code7-2
  • § 7:3 : Escrow Arrangements7-3
    • § 7:3.1 : Function of Technology Escrow7-3
    • § 7:3.2 : Forms of Technology Escrow7-4
      • [A] : Two-Party Escrow Agreement7-4
      • [B] : Three-Party Escrow Agreement7-4
      • [C] : Hybrid Escrow Agreement7-4
    • § 7:3.3 : Elements of a Technology Escrow Agreement7-4
      • [A] : Deposit7-5
      • [B] : License7-5
      • [C] : Release Conditions and Procedure7-6
      • [D] : Other Provisions7-6
  • § 7:4 : Bankruptcy-Related Issues7-7
  • § 7:5 : Practical Considerations7-10
    • § 7:5.1 : Source Code Turnover Provisions7-10
    • § 7:5.2 : Tangible Property7-11
    • § 7:5.3 : Timing7-11
    • § 7:5.4 : Period During Which Escrow Should Apply7-12
    • § 7:5.5 : Release Conditions7-12
      • [A] : Immediate Release7-12
      • [B] : Tempering Bankruptcy or Receivership Conditions7-12
    • § 7:5.6 : Escrow in Hosted Service Models7-13
    • § 7:5.7 : Defining “Source Code”: Verification and Related Processes7-13
      • [A] : Ancillary Components7-14
      • [B] : Sample Definition7-14
      • [C] : Verification and Related Processes7-14
    • § 7:5.8 : Choosing to Use an Escrow Arrangement: Advantages and Disadvantages7-15
Chapter 8: Nondisclosure Agreements; and Appendices 8A-8B
  • § 8:1 : Overview8-2
  • § 8:2 : Key Provisions8-2
    • § 8:2.1 : Confidential Information8-2
      • [A] : Definition of CI8-2
      • [B] : Specific Types of CI8-3
      • [C] : Marking and Verbal Disclosures8-3
    • § 8:2.2 : Exceptions8-4
    • § 8:2.3 : Identifying the Parties8-5
    • § 8:2.4 : Recipient Duties8-5
      • [A] : Nondisclosure Obligations8-5
      • [B] : Limitations on Use8-6
    • § 8:2.5 : Personally Identifiable Information8-6
    • § 8:2.6 : Compliance with Government Authorities8-6
  • Figure 8-1 : Compelled Disclosure Provisions: Negotiable Points8-7
    • § 8:2.7 : Return/Destruction of CI; Backup Copies8-7
    • § 8:2.8 : Duration8-7
    • § 8:2.9 : Compliance with Export Laws8-8
    • § 8:2.10 : Remedies8-8
    • § 8:2.11 : Limitations of Liability; Exclusions of Certain Damage Types8-8
  • § 8:3 : Possibly Inappropriate Provisions8-8
  • § 8:4 : NDAs As a Precursor to a Corporate Transaction8-8
  • § 8:5 : Interaction with Subsequent Agreements8-9
  • Appendix 8A : Mutual Nondisclosure AgreementApp. 8A-1
  • Appendix 8B : Unilateral Nondisclosure AgreementApp. 8B-1
Chapter 9: Employee Agreements; and Appendix 9A
  • § 9:1 : Introduction9-2
    • § 9:1.1 : Why Have an Employee Agreement?9-2
    • § 9:1.2 : What Should Be in an Employee Agreement?9-3
    • § 9:1.3 : What Should Be Kept Out of Employee Agreements?9-3
    • § 9:1.4 : Creating Consistency in Employee Agreements and Flexibility in Policies9-4
  • § 9:2 : The Life Cycle of an Employee Agreement9-5
    • § 9:2.1 : Begin with the Disaster in Mind9-5
    • § 9:2.2 : Updating the Employee Agreement9-5
    • § 9:2.3 : Versioning the Employee Agreement9-6
    • § 9:2.4 : A Note on Electronic Record Keeping9-7
  • § 9:3 : A Sample Employee Agreement9-8
    • § 9:3.1 : Use of Language9-8
    • § 9:3.2 : Section 1: Terms of Employment9-8
    • § 9:3.3 : Section 2: Confidentiality9-9
    • § 9:3.4 : Section 3: Intellectual Property9-10
      • [A] : Definitions9-10
      • [B] : Ownership of Intellectual Property Created Prior to Employment9-11
      • [C] : Ownership of Intellectual Property Created As an Employee9-12
      • [D] : Ownership of Intellectual Property Created Outside of Employment9-13
      • [E] : Shop Rights9-14
      • [F] : Compliance with State Law9-14
    • § 9:3.5 : Section 4: Employee Conduct9-14
      • [A] : Compliance with Policies9-15
      • [B] : Conflicts of Interest and Non-competition9-16
    • § 9:3.6 : Section 5: Terminating Employees9-17
      • [A] : Survival9-17
      • [B] : Return of Company Property9-17
      • [C] : Non-disparagement9-18
      • [D] : Non-solicitation and Maintenance of Company Relationships9-18
      • [E] : Disputed Ownership of Intellectual Property9-19
      • [F] : Tolling of the Restricted Period9-19
      • [G] : Provisions to Be Given Maximum Effect9-20
    • § 9:3.7 : Section 6: Dispute Resolution9-21
      • [A] : Mediation and Arbitration Procedure9-21
      • [B] : Claims on an Individual Basis Only9-23
      • [C] : Covered Claims (and Claims Not Covered)9-23
      • [D] : Costs, Fees, and Indemnification9-24
    • § 9:3.8 : Section 7: General9-25
      • [A] : Scope of Agreement9-25
      • [B] : Assignment9-25
      • [C] : Choice of law9-26
      • [D] : Intentionally Excluded: Execution by Counterparts9-26
  • Appendix 9A : Model Company Employee AgreementApp. 9A-1
Chapter 10: Information Security Agreements; and Appendix 10A
  • § 10:1 : Introduction10-2
  • § 10:2 : Information Definitions10-2
    • § 10:2.1 : Personal Information10-3
    • § 10:2.2 : Confidential Information10-4
  • § 10:3 : Access to and Use of Information10-5
    • § 10:3.1 : Use Restrictions10-5
    • § 10:3.2 : Oversight10-6
  • § 10:4 : Safeguards10-7
    • § 10:4.1 : Legal and Regulatory Compliance10-7
    • § 10:4.2 : Compliance with Standards10-8
    • § 10:4.3 : Customized Safeguards10-9
  • § 10:5 : Breach Response Procedures10-9
    • § 10:5.1 : Incident Response Plan10-9
    • § 10:5.2 : Cooperation10-9
    • § 10:5.3 : Costs of Investigation and Remediation10-10
  • § 10:6 : Breach Notification Obligations10-10
    • § 10:6.1 : Source of the Obligation10-10
    • § 10:6.2 : Responsibility for the Obligation10-10
  • § 10:7 : Audits and Assessments10-10
    • § 10:7.1 : DP Audit10-11
    • § 10:7.2 : Self-Audit/Assessment10-11
  • § 10:8 : Insurance and Indemnification10-11
    • § 10:8.1 : Defining the Risk10-12
    • § 10:8.2 : Control of Indemnified Claims10-13
    • § 10:8.3 : Insurance10-13
  • Appendix 10A : Information Security Agreement Template ProvisionsApp. 10A-1
Chapter 11: Understanding the IP Basics
  • § 11:1 : Introduction11-2
  • § 11:2 : Intellectual Property Law Basics11-3
    • § 11:2.1 : Copyright11-3
      • [A] : Registration11-3
      • [B] : Work for Hire11-4
      • [C] : Derivative Works11-5
    • § 11:2.2 : Trade Secrets and Know-How11-6
    • § 11:2.3 : Patents11-7
    • § 11:2.4 : Trademarks11-9
    • § 11:2.5 : Some Other IP Rights—Industrial Designs and Mask Works11-10
    • § 11:2.6 : Distinguishing Technology and Intellectual Property11-10
    • § 11:2.7 : Distinguishing Technology Licenses and Patent Licenses11-10
    • § 11:2.8 : Choice of Governing Law11-10
    • § 11:2.9 : The Intersection of Patent Law and Antitrust Law11-11
  • § 11:3 : Types of IP Transfers or Exchanges of Rights11-11
    • § 11:3.1 : Assignment11-11
    • § 11:3.2 : Licenses11-12
      • [A] : Exclusive Licenses11-12
      • [B] : Nonexclusive Licenses11-13
    • § 11:3.3 : Covenants Not to Sue11-13
    • § 11:3.4 : Presently Effective Grant11-14
  • § 11:4 : Licensee Transferability11-14
    • § 11:4.1 : General Rules Regarding Transferability11-14
    • § 11:4.2 : Transferability of Nonexclusive Patent and Copyright Licenses11-14
    • § 11:4.3 : Transferability of Exclusive Patent and Copyright Licenses11-15
    • § 11:4.4 : Transferability of Trade Secret Licenses11-16
    • § 11:4.5 : Avoiding Transaction Surprises11-16
  • § 11:5 : Bankruptcy-Related Issues11-17
    • § 11:5.1 : Applicable Bankruptcy Principles11-17
      • [A] : Unenforceability of Ipso Facto Clauses11-17
      • [B] : Assignment and Assumption of Executory Contracts11-18
      • [C] : Unenforceability of Anti-Assignment Language11-18
      • [D] : Avoidance of Transfers11-18
    • § 11:5.2 : Bankruptcy of the Licensee11-19
      • [A] : Protections for Licensors11-19
      • [B] : Transferability of Nonexclusive Patent and Copyright Licenses11-19
      • [C] : Transferability of Exclusive Patent and Copyright Licenses11-19
      • [D] : Transferability of Trade Secret Licenses11-19
      • [E] : Potential Consequences for the Licensee11-20
    • § 11:5.3 : Bankruptcy of the Licensor11-20
      • [A] : Protections for Licensees11-20
      • [B] : Limitations of Bankruptcy Code Section 365(n)11-20
  • § 11:6 : Secured Creditors11-21
    • § 11:6.1 : Security Interests in Licensed IP11-21
    • § 11:6.2 : Nonexclusive Licensees in the Ordinary Course11-21
    • § 11:6.3 : Mitigating Secured Creditor Risks11-21
  • § 11:7 : Joint Ownership Concerns11-23
    • § 11:7.1 : How Joint Ownership Is Created11-23
    • § 11:7.2 : The Problems with Joint Ownership11-23
  • Figure 11-1 : Exploiting Patents11-24
  • Figure 11-2 : Exploiting Copyrights11-25
  • § 11:8 : Protection and Enforcement of Intellectual Property Rights11-26
    • § 11:8.1 : Standing11-26
    • § 11:8.2 : Control and Financial Terms11-27
Chapter 12: Open Source Software
  • § 12:1 : Open Source Licensing: The Big Picture12-2
    • § 12:1.1 : What Is Open Source?12-3
    • § 12:1.2 : How Open Source Works12-3
  • § 12:2 : Defining Open Source12-4
    • § 12:2.1 : “Open Source” Definition12-4
    • § 12:2.2 : Open Source Versus Free Software12-6
    • § 12:2.3 : Types of Open Source Licenses12-6
      • [A] : Academic Licenses12-6
      • [B] : Permissive Licenses12-6
      • [C] : Limited Reciprocal Licenses12-7
      • [D] : Strong Reciprocal Licenses12-8
      • [E] : What License(s) Are the “Best”?12-8
  • § 12:3 : The Legal Landscape Around Open Source12-9
    • § 12:3.1 : Artifex v. Hancom12-10
    • § 12:3.2 : Jacobsen v. Katzer12-10
    • § 12:3.3 : The Limitations of Jacobsen and Artifex12-12
    • § 12:3.4 : Ambiguity in the Scope of Derivative Works Under Copyright Law12-13
    • § 12:3.5 : Analyzing the GPL Under Copyright Law12-13
      • [A] : Collective Works12-14
      • [B] : Derivative Works12-15
      • [C] : The GNU General Public License12-15
      • [D] : No Restrictions on Use12-15
      • [E] : Derivative Works in Code12-16
  • § 12:4 : Twelve Best Practices for Working with Open Source12-17
    • § 12:4.1 : Administrative Best Practices12-17
      • [A] : Treat Open Source Licensing As Part of the Software Procurement Process12-17
      • [B] : Use an Open Source Review Board12-17
      • [C] : Monitor Open Source Use with a Tracking System12-18
      • [D] : Create an Internal Open Source Repository12-18
    • § 12:4.2 : Best Practices for “Inbound” Open Source12-19
      • [A] : Apply Different Levels of Review to Different Software Uses12-19
      • [B] : Apply Different Levels of Review to Different Types of Licenses12-20
      • [C] : Have an “Open by Default” Policy for Open Source Components12-21
      • [D] : Understand That Using Open Source Isn’t Always a Yes or No Decision12-21
    • § 12:4.3 : Best Practices for “Outbound” Open Source12-22
      • [A] : Keep Up with the Paperwork12-22
      • [B] : Review Outbound Open Source for Other Intellectual Property12-23
      • [C] : Don’t Write Your Own Open Source License12-24
      • [D] : Nurture the Community12-25
Chapter 13: The Internet and Domain Name System
  • § 13:1 : Introduction13-1
  • § 13:2 : The Internet: What It Is and Where It Started13-2
  • § 13:3 : The Domain Name System13-3
    • § 13:3.1 : Creation13-3
    • § 13:3.2 : Governance13-3
      • [A] : Before 1998 (Pre-ICANN)13-3
      • [B] : The ICANN Era13-5
      • [C] : Outlook13-7
    • § 13:3.3 : Structure and Hierarchy13-8
    • § 13:3.4 : Operation13-9
      • [A] : Registrants13-9
      • [B] : Registrars13-10
      • [C] : Registries13-10
Chapter 14: Digital Millennium Copyright Act
  • § 14:1 : Introduction14-2
  • § 14:2 : Overview of the DMCA14-3
    • § 14:2.1 : Title I—WIPO Copyright and Performances and Phonograms Treaties Implementation Act of 199814-3
    • § 14:2.2 : Title II—Online Copyright Infringement Liability Limitation Act14-3
    • § 14:2.3 : Title III—Computer Maintenance or Repair14-4
    • § 14:2.4 : Title IV—Miscellaneous Provisions14-4
    • § 14:2.5 : Title V—Protection of Certain Original Designs14-4
  • § 14:3 : Service Provider Safe Harbor Eligibility Requirements14-4
    • § 14:3.1 : Qualifying As a “Service Provider”14-4
    • § 14:3.2 : Policy for Repeat Infringers; Technical Copyright Protection Measures14-5
    • § 14:3.3 : No Direct Financial Benefit14-5
    • § 14:3.4 : No Actual Knowledge of Infringement14-5
    • § 14:3.5 : Expeditious Removal of Infringing Content14-6
    • § 14:3.6 : Additional Conditions for System Caching14-6
  • § 14:4 : Takedown Notification Requirements and Procedures14-7
    • § 14:4.1 : Designated Agent14-7
    • § 14:4.2 : The Takedown Notice14-8
      • [A] : Required Elements14-8
      • [B] : How to Respond to a Takedown Notice14-9
    • § 14:4.3 : Counter Notice to Restore Original Content14-10
      • [A] : Required Elements14-10
      • [B] : How to Respond to a Counter Notice14-10
    • § 14:4.4 : Service Provider Liability for Removing Content14-11
    • § 14:4.5 : Penalties for Misrepresentations in Notices14-11
    • § 14:4.6 : Recent Takedown Disputes14-12
  • § 14:5 : Subpoena to a Service Provider14-12
  • § 14:6 : Available Relief for Copyright Owners14-13
  • § 14:7 : Anti-Circumvention Provisions14-14
    • § 14:7.1 : Generally14-14
    • § 14:7.2 : Responding to Violations14-14
      • [A] : Civil Remedies14-14
      • [B] : Criminal Penalties14-15
Chapter 15: Cybersecurity and Privacy: An Overview
  • § 15:1 : Introduction15-2
  • § 15:2 : Fundamental Concepts15-3
    • § 15:2.1 : Data Security Versus Data Privacy15-3
    • § 15:2.2 : “Privacy by Design”15-4
      • [A] : Business Case for a New Approach to Privacy and Security15-4
      • [B] : Principles of Privacy by Design Framework15-6
      • [C] : Review and Certification Processes15-7
    • § 15:2.3 : Personally Identifiable Information15-8
  • § 15:3 : Cybersecurity and Privacy Within Organizations15-14
    • § 15:3.1 : Designing and Implementing Internal Controls15-14
      • [A] : Key Drivers15-14
      • [B] : Operational Considerations15-15
    • § 15:3.2 : Internal Data Privacy Programs: Personal Information from Cradle to Grave15-16
  • Figure 15-1 : Comprehensive Data Privacy Program15-16
    • [A] : Data Element Inventory; Data Map15-17
    • [B] : Determining Applicable Laws and Standards15-18
    • [C] : Compliance with Applicable Standards15-21
    • [D] : Compliance Roadmap15-22
    • § 15:4 : Data Security Breaches—The “Liability” Factor15-23
      • § 15:4.1 : Federal Agency Enforcement15-23
        • [A] : Federal Trade Commission15-23
  • Figure 15-2 : FTC’s Ten Practical Privacy and Data Security Lessons for Businesses15-24
    • [B] : Consumer Financial Protection Bureau15-25
    • [C] : Securities and Exchange Commission15-25
    • § 15:4.2 : Proposed Federal Data Security Breach Laws15-26
    • § 15:4.3 : State Data Security Breach Notification Laws15-26
    • § 15:4.4 : Trends in Data Breach Litigation15-28
    • § 15:4.5 : Designing and Implementing a Response Plan15-29
    • § 15:4.6 : Cyber Liability Insurance Litigation15-32
  • § 15:5 : Big Data—The “Asset” Factor15-32
    • § 15:5.1 : Defining “Big Data”15-32
    • § 15:5.2 : Next-Generation Data Issues and Legal Compliance15-33
    • § 15:5.3 : Data Ownership and Provenance15-33
  • § 15:6 : Practice Tips15-34
    • § 15:6.1 : Product Design and Privacy by Design15-34
    • § 15:6.2 : Defining Data Ownership and Rights of Use15-35
    • § 15:6.3 : Assuring the Provenance of Third-Party Data Contractually15-36
    • § 15:6.4 : Data Security Breaches: Liability, Indemnification, and Remedies15-37
Chapter 16: Privacy: International Data Transfers
  • § 16:1 : Introduction16-2
  • § 16:2 : International Privacy Laws16-2
    • § 16:2.1 : U.S. Privacy Framework16-2
    • § 16:2.2 : European Economic Area Privacy Model16-3
      • [A] : The General Data Protection Regulation (GDPR)16-3
  • § 16:3 : Transfers of Data16-5
    • § 16:3.1 : Examples of Transfers to a Third Country16-5
    • § 16:3.2 : Compliant Transfers16-6
      • [A] : Consent of the Data Subject16-6
      • [B] : Adequate Protection Under Third Country’s Local Law16-7
      • [C] : Privacy Shield or Similar Arrangements16-8
      • [D] : Standard Contractual Clauses16-8
      • [E] : Binding Corporate Rules16-9
      • [F] : Exempted Transfers16-10
    • § 16:3.3 : Onward Transfers16-10
    • § 16:3.4 : Transfers of Encrypted Data16-11
  • § 16:4 : Consequences of Failure to Comply with International Data Transfer Law16-12
  • § 16:5 : Compliance16-12
    • § 16:5.1 : What to Do If Noncompliant Transfers Are Already Happening16-12
    • § 16:5.2 : Getting Management on Board16-12
    • § 16:5.3 : How to Start or Maintain a Compliance Program16-13
      • [A] : Identify Data Flows16-13
      • [B] : Develop a Compliance Plan for Each Data Flow16-14
      • [C] : Put the Compliance Filings and Contracts in Place16-14
      • [D] : Monitor16-15
  • § 16:6 : The General Data Protection Regulation16-15
    • § 16:6.1 : Background16-15
    • § 16:6.2 : Adoption/Enforcement Timeline16-15
    • § 16:6.3 : Provisions; Compliance Considerations16-16
      • [A] : Privacy by Design and by Default16-16
      • [B] : Binding Corporate Rules16-16
      • [C] : Cloud Computing16-16
      • [D] : Vendor Contracts16-17
      • [E] : Data Protection Officer16-18
      • [F] : Data Breach Notification16-18
Chapter 17: Privacy: HIPAA and Business Associate Agreements
  • § 17:1 : Introduction17-2
  • § 17:2 : HIPAA Jurisdiction, Applicability, and Enforcement17-2
    • § 17:2.1 : Preemption and “Reverse Preemption”17-2
    • § 17:2.2 : Who Must Comply with HIPAA?17-3
      • [A] : Covered Entities17-3
      • [B] : Business Associates17-4
    • § 17:2.3 : Enforcement17-4
  • § 17:3 : HIPAA Privacy and Security Requirements17-5
    • § 17:3.1 : Privacy Standards17-5
      • [A] : Permitted Uses and Disclosures17-5
      • [B] : Individual Rights17-6
      • [C] : Administrative Requirements17-6
    • § 17:3.2 : Security Standards17-6
      • [A] : Administrative Safeguards17-7
      • [B] : Physical Safeguards17-8
      • [C] : Technical Safeguards17-9
      • [D] : Policies and Procedures and Documentation Requirements17-10
  • § 17:4 : Business Associate Agreements17-10
  • § 17:5 : Breach Notification17-13
  • § 17:6 : Enforcement Actions17-13
  • § 17:7 : Coordinated Care Initiative17-16
Chapter 18: Privacy: Gramm-Leach-Bliley Act
  • § 18:1 : Introduction18-2
  • § 18:2 : Overview of the Gramm-Leach-Bliley Act18-2
    • § 18:2.1 : Legislative History and Structure18-2
    • § 18:2.2 : Select Definitions18-3
      • [A] : Consumers and Customers18-3
      • [B] : Financial Institutions18-3
      • [C] : Nonpublic Personal Information18-4
      • [D] : Personally Identifiable Financial Information18-4
  • § 18:3 : The Privacy Rule18-5
    • § 18:3.1 : Purpose and Overview18-5
    • § 18:3.2 : Required Privacy Notices and Opt-Out Rights18-5
    • § 18:3.3 : Sections 14 and 15 Exceptions to the Notice and Opt-Out Requirements18-5
    • § 18:3.4 : Section 13 Exceptions to the Opt-Out Requirements18-6
    • § 18:3.5 : Limits on the Reuse and Redisclosure of NPI18-7
      • [A] : Restrictions on Reuse and Redisclosure If NPI Is Received Under the Section 14 or 15 Exceptions18-7
      • [B] : Restrictions on Reuse and Redisclosure If NPI Is Not Received Under the Section 14 or 15 Exceptions18-7
    • § 18:3.6 : Applicability to Colleges and Universities18-7
  • § 18:4 : The Safeguards Rule18-8
    • § 18:4.1 : Overview18-8
    • § 18:4.2 : Required Elements for Information Security Program18-8
Chapter 19: Privacy: Children’s Online Privacy Protection Act
  • § 19:1 : Introduction19-2
  • § 19:2 : Overview of the Children’s Online Privacy Protection Act19-2
    • § 19:2.1 : Purpose; FTC Rules19-2
    • § 19:2.2 : General Requirements19-2
    • § 19:2.3 : Who Must Comply with COPPA?19-3
    • § 19:2.4 : Covered Online Services19-5
    • § 19:2.5 : Key Definitions19-5
      • [A] : “Personal Information”19-5
      • [B] : “Directed to Children”19-6
      • [C] : “Actual Knowledge”19-6
      • [D] : “Collection”19-7
      • [E] : “Disclosure”19-7
      • [F] : “Operator”19-7
  • § 19:3 : Notice19-8
    • § 19:3.1 : Website Privacy Notice19-8
    • § 19:3.2 : Direct Notice to Parent19-9
  • § 19:4 : Verifiable Parental Consent19-9
    • § 19:4.1 : Requirements19-9
    • § 19:4.2 : Methods19-9
    • § 19:4.3 : Exceptions19-10
  • § 19:5 : Confidentiality, Security, and Integrity Procedures19-10
  • § 19:6 : Enforcement19-11
    • § 19:6.1 : Jurisdiction19-11
    • § 19:6.2 : Penalties for Violations19-11
    • § 19:6.3 : Safe Harbor Provision19-12
Chapter 20: State Transaction Taxes; and Appendices 20A-20F
  • § 20:1 : Overview20-2
    • § 20:1.1 : Sales Tax Versus Use Tax20-3
    • § 20:1.2 : Goods and Services Subject to State Sales Tax20-3
      • [A] : Tangible Personal Property: Hardware and Software20-3
      • [B] : Specifically Enumerated Services20-4
      • [C] : Mixed Transactions20-5
    • § 20:1.3 : Streamlined Sales Tax Project20-6
  • § 20:2 : Software20-7
    • § 20:2.1 : Licenses20-7
    • § 20:2.2 : Digital Downloads20-7
    • § 20:2.3 : Canned Software Versus Custom Software20-8
    • § 20:2.4 : Electronic and Digital Products20-8
  • § 20:3 : Services Relating to Software20-9
    • § 20:3.1 : Consulting and Training Services20-9
    • § 20:3.2 : Installation and Configuration of Software20-9
    • § 20:3.3 : Maintenance Services20-10
    • § 20:3.4 : Software Modification Services20-10
    • § 20:3.5 : Services Provided by Software Vendor20-10
      • [A] : Services Integral to Sale of Software20-10
      • [B] : Services Separately Identifiable and Bargained For20-11
    • § 20:3.6 : Services Provided by Third Party20-11
  • § 20:4 : Cloud Computing and Software As a Service20-12
    • § 20:4.1 : Overview of State Sales Tax Implications20-13
    • § 20:4.2 : Software, Service, or Software As a Service20-14
      • [A] : Service20-14
      • [B] : Software License—Tangible Personal Property20-14
    • § 20:4.3 : Situs and Sourcing20-15
  • § 20:5 : Nexus and Multistate Considerations20-15
    • § 20:5.1 : Nexus Standards20-16
      • [A] : Pre-June 2018: Physical Presence20-16
      • [B] : Post-June 2018: Wayfair and the Fall of Physical Presence20-16
    • § 20:5.2 : Software Licenses and Service Agreements—Situs and Sourcing20-18
      • [A] : User Licenses20-19
      • [B] : Master License—Unlimited Users20-19
      • [C] : Delivery Location20-19
      • [D] : Installation Location20-20
      • [E] : Use Location20-20
      • [F] : Benefit Location20-21
      • [G] : Agreement and Other Records20-21
  • § 20:6 : Considerations for Specific Industries and Businesses20-22
    • § 20:6.1 : Software Developers20-22
      • [A] : Generally20-22
      • [B] : Custom Programming20-23
    • § 20:6.2 : Manufacturers20-23
    • § 20:6.3 : Software Resellers and Sellers20-23
    • § 20:6.4 : Service Providers20-25
  • Appendix 20A : Streamlined Sales Tax Agreement MembershipApp. 20A-1
  • Appendix 20B : Sales Tax Base—Installation ChargesApp. 20B-1
  • Appendix 20C : Sales Tax Treatment of Certain Technology ItemsApp. 20C-1
  • Appendix 20D : Establishment Of NexusApp. 20D-1
  • Appendix 20E : Sourcing TreatmentApp. 20E-1
  • Appendix 20F : Sales and Use Tax Credits and Incentives for Technology InvestmentsApp. 20F-1
Chapter 21: Enforcement of Online Terms and Conditions
  • § 21:1 : Introduction21-1
  • § 21:2 : Factors Courts Consider in Enforceability21-2
    • § 21:2.1 : Overview21-2
    • § 21:2.2 : Notice21-2
  • Figure 21-1 : Forms of Notice21-3
    • § 21:2.3 : Acceptance21-4
    • § 21:2.4 : Unconscionability21-4
  • § 21:3 : Overview of Distinction Between Browsewrap and Clickwrap21-5
    • § 21:3.1 : Overview21-5
    • § 21:3.2 : Clickwrap21-5
    • § 21:3.3 : Browsewrap21-5
    • § 21:3.4 : Hybrid21-6
  • Figure 21-2 : Categories of Online Terms and Conditions21-6
  • § 21:4 : “In the Box” Contracting21-7
  • § 21:5 : Special Note Regarding Arbitration Clauses21-8
  • § 21:6 : Practical Considerations21-9
    • § 21:6.1 : Generally21-9
    • § 21:6.2 : Notice21-10
    • § 21:6.3 : Consent21-10
    • § 21:6.4 : Content21-11
  Index

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