Pursuant to 17
CFR 240.24b-2, confidential information has been omitted in places
marked “[* * *]” and has been filed separately with the
Securities and Exchange Commission pursuant to a Confidential
Treatment Application filed with the Commission.
AMENDED AND RESTATED COMMON SHORT
CODE LICENSE AGREEMENT
CTIA — The Wireless
Association ® AND
This AMENDED AND
RESTATED COMMON SHORT CODE LICENSE AGREEMENT (“
Agreement ”) is made and entered into on
June 2, 2008 (“ Effective Date ”) by
and between CTIA — The Wireless Association
® (formerly known as the Cellular
Telecommunications & Internet Association) (“
CTIA ” or “ Licensor
”), a District of Columbia non-profit corporation, located at
1400 16 th
Street NW, Suite 600, Washington,
D.C. 20036, and NeuStar, Inc., a Delaware Corporation, having
offices at 46000 Center Oak Plaza, Sterling, Va. 20166 (“
Registry ” or “ Licensee
”).
WHEREAS , CTIA is a non-profit trade association
providing an array of professional services, information and
programs for its member companies related to wireless
telecommunications services and technology;
WHEREAS , as part of the process of harmonizing
technical requirements and functionalities of Common Short Code
services in the United States, representatives of those CTIA member
companies, acting through CTIA in the form of a Common Short Code
Working Group, developed technical requirements and functionality
of the CSC Administration platform to ensure that the platform
meets carrier requirements for providing CSC services in the United
States;
WHEREAS , the CTIA Common Short Code Working Group has
also recognized that it is in the best interests of the industry
for a single party to administer a catalog of certain Common Short
Codes, subject to the Industry Reserved Rights (as defined below),
the right to assign the Common Short Codes contained in that
catalog to various parties wishing to use such Codes, other CSC
Data (as defined below), CSC Enhancements (as defined
below),
Pursuant to 17
CFR 240.24b-2, confidential information has been omitted in places
marked “[* * *]” and has been filed separately with the
Securities and Exchange Commission pursuant to a Confidential
Treatment Application filed with the Commission.
Amended and Restated Common Short
Code License Agreement
and such other
rights with respect to Common Short Codes as are necessary to
permit Common Short Code services to be uniformly provided
industry-wide and to be uniformly available nationwide
(collectively, the “ CSC Registry Rights
”);
WHEREAS , the CTIA Board of Directors, acting on behalf
of all participating members of the industry, has appointed CTIA to
serve as the Common Short Code Administrator;
WHEREAS , Registry is a leading provider of neutral,
third party clearinghouse services to the telecommunications
industry, and provides an array of services, including numbering
and registry services, that enable communications networks to
interoperate;
WHEREAS , CTIA and Registry entered into the Common
Short Code License Agreement, dated October 17, 2003 (“
Original Agreement ”), pursuant to which
Registry developed and maintains a database of common short codes,
processes common short code applications, assigns common short
codes to applicants according to the rules set forth in the
Assignment Guidelines, engages in other Registry Services on behalf
of members of the wireless industry and other persons using Common
Short Codes, and provides other services in connection with the
administration and implementation of the wireless industry’s
CSC Program;
WHEREAS , CTIA and Registry subsequently entered into
the First, Second, Third, Fourth, Fifth and Sixth Amendments to the
Agreement, and the March 20, 2007 Letter Agreement;
WHEREAS , CTIA and Registry wish to continue their
relationship and to (1) restate the Original Agreement to
incorporate the terms of the amendments and the letter agreement;
(2) clarify each party’s rights and obligations; and
(3) incorporate revisions to the Original
Agreement;
NOW,
THEREFORE , for and in
consideration of the premises and the mutual promises and covenants
contained herein, it is hereby agreed as follows:
2
Pursuant to 17
CFR 240.24b-2, confidential information has been omitted in places
marked “[* * *]” and has been filed separately with the
Securities and Exchange Commission pursuant to a Confidential
Treatment Application filed with the Commission.
Amended and Restated Common Short
Code License Agreement
1. DEFINITIONS . For purposes of this Agreement,
unless otherwise defined in this Agreement, the following
definitions shall apply:
1.1. The term
“ Agreement ” means all the terms and
conditions contained herein, including any Exhibit, appendix,
attachment or documents referenced herein or incorporated herein by
reference, including any and all amendments to this Agreement and
each of the foregoing instruments. In the event of a conflict
between or among the terms and conditions contained herein, in any
Exhibit, appendix or attachment, the following shall control in
descending order of precedence (a) the terms and conditions
contained herein, (b) the remaining Exhibits, and any
documents attached to such Exhibits; and (c) the Assignment
Guidelines.
1.2. The term
“ Applicant ” or “
Applicants ” mean, individually or
collectively, any and all entities which access and/or use the
Registry Services, for purposes of ultimately registering a CSC
through Registry.
1.3. “
Application Providers ” are entities
responsible for providing the application for a CSC service. For
some applications, the Application Provider and the Connection
Aggregator may be the same entity.
1.4. “
Assignment Guidelines ” means the guidelines,
then currently in effect, that set forth the requirements for the
administration and implementation of CSCs.The updated Assignment
Guidelines, entitled “Common Short Code Guidelines v.
2.0” are attached hereto as Exhibit D.
1.5. The term
“ Billing Cycle ” means any calendar
month, or portion thereof, during which Registry Services are
rendered hereunder.
1.6. The term
“ Branding and Website Guidelines ” is
defined in Section 6.6.7. The Branding and Website Guidelines
are attached hereto as Exhibit J.
1.7. The term
“ Business Day ” means Monday through
Friday of each week, excluding New Year’s Day, Memorial Day,
July 4 th
, Labor Day, Thanksgiving Day, and
December 24 th and the 25 th .
3
Pursuant to 17
CFR 240.24b-2, confidential information has been omitted in places
marked “[* * *]” and has been filed separately with the
Securities and Exchange Commission pursuant to a Confidential
Treatment Application filed with the Commission.
Amended and Restated Common Short
Code License Agreement
1.8. The “
Carrier ” is any entity that offers Commercial
Mobile Radio Service (“CMRS”) as such term is defined
by the Federal Communications Commission.
1.9. “
Common Short Code ” or “
CSC ” shall mean the certain pool of numeric
digits that are utilized through the CTIA and harmonized across all
Carriers participating in the distribution of CSCs, allowing
communication to and from a particular application. For the
purposes of this Agreement, the term “CSC” specifically
excludes any strings of digits that include the star symbol (*)
and/or the pound symbol (#). CTIA does not license to Registry the
right to assign numeric strings that contain the star symbol (*)
and/or the pound symbol (#). Registry shall have no obligation
under this Agreement to add functionality to the Registry Services
that would provide for numeric strings that contain the star symbol
(*) and/or the pound symbol (#).
1.10. “
Common Short Code Administrator ” or “
CSCA ” refers to the Cellular
Telecommunications & Internet Association, a party to this
Agreement, or any assignee of it under Section 15.
1.11. The term
“ Confidential Information ” shall have
the meaning set forth in Section 11.
1.12. A “
Content Provider ” shall be an entity that owns
or has the right to content, and licenses such content to the
Application Provider for delivery to the End User. For some
applications, the Application Provider and the Content Provider may
be the same entity.
1.13. A “
Connection Aggregator ” shall be an entity that
provides connectivity to Carrier networks for Application
Providers. For some applications, the Connection Aggregator and
Application Provider may be the same entity.
1.14. “
CSC Data ” means all data that is:
(a) used to provide Registry Services, (b) submitted by
Applicants, Registrants and/or Visitors, or (c) data derived
by or generated through the performance of Registry Services. For
the purposes of this Agreement, the definition of CSC Data shall
include the actual CSC Data along with the format of such CSC Data
as well as the associated CSC Data dictionary.
4
Pursuant to 17
CFR 240.24b-2, confidential information has been omitted in places
marked “[* * *]” and has been filed separately with the
Securities and Exchange Commission pursuant to a Confidential
Treatment Application filed with the Commission.
Amended and Restated Common Short
Code License Agreement
1.15. “
CSC Directory ” means the official directory of
Registrants published on the CSCA Website.
1.16. “
CSC Service Users ” means any entity that
accesses and/or uses the Registry Services, including, but not
limited to Carriers, Applicants, Registrants, Application
Providers, Connection Aggregators and Content Providers.
1.17. “
CSC Enhancement ” means any Enhancement made by
Registry, in accordance with procedures set forth in
Article 9, at the request of CTIA pursuant to
Section 9.1, in its capacity as CSCA, in order to adapt the
CSC Service to specific requirements of Carriers or other
participating members of the wireless telecommunications industry
communicated to CTIA.
1.18. “
CSC Registry Rights ” means the following,
individually or in any combination: the Industry Reserved Rights,
the right to assign the Common Short Codes contained in that
catalog to various parties wishing to use such Codes, other CSC
Data, CSC Enhancements, and such other rights with respect to
Common Short Codes as are necessary to permit Common Short Code
services to be uniformly provided industry-wide and to be uniformly
available nationwide.
1.19. “
CSCA Royalties ” shall be the compensation to
CTIA, in its capacity as CSCA, for Registry’s use of the CSC
Registry Rights, other confidential information, and other
intellectual property rights in the CSC program as provided in
Article 4 below.
1.20. The term
“ Documentation ” means technical or user
manuals and other similar written reference or instructional
materials that relate to information about the Registry
Services.
1.21. “
End Users ” are the persons or entities that
will utilize CSCs for communication with applications.
1.22. The term
“ Enhancements ” means changes or
additions, other than Maintenance Modifications, to the Registry
Services and related Documentation, including all new functionality
that improve existing functions, add new functions, or
significantly improve performance of the Registry
Services.
5
Pursuant to 17
CFR 240.24b-2, confidential information has been omitted in places
marked “[* * *]” and has been filed separately with the
Securities and Exchange Commission pursuant to a Confidential
Treatment Application filed with the Commission.
Amended and Restated Common Short
Code License Agreement
1.23. “
Industry-Reserved Rights ” means those rights
as to the CSC Registry Rights retained by the participating members
of the wireless telecommunications industry and exercisable on
their behalf by the CTIA Board of Directors, or its Executive
Committee, as described in Article 5.
1.24. The term
“ Intellectual Property ” means rights
afforded under patent, copyright, trade secret and trademark law,
and any other statutory provision or common law doctrine, relating
to rights in and to Software, designs, formulas, procedures,
methods, ideas, inventions and improvements, works of authorship
and other material, recordings, graphs, drawings, graphics, logos,
reports, analyses, other writings, any information in any form and
other property of any type not specifically listed herein, whether
or not the foregoing are protected or protectable under
Intellectual Property rights now or in the future.
1.25. The term
“ Maintenance Modifications ” means any
modifications or revisions, other than Enhancements, to the
Registry Software or Documentation that correct Defects or support
new releases of the operating systems with which the Registry
Software is designed to operate.
1.26. The term
“ Normal Business Hours ” means 9:00 a.m.
to 8:00 p.m . Eastern Time during Business Days.
1.27. The terms
“ Party ” or “
Parties ” means CTIA and/or
Registry.
1.28. The term
“ Registrant ” means an entity which has
(a) been approved by Registry to sublease a CSC through the
process set forth in Section 6.4 and the Assignment Guidelines
and (b) entered into a Registrant Sublicense Agreement(s) with
Registry in the form of Exhibit B hereto, to access
CSCs.
1.29. “
Registrant Sublicense Agreement ” means an
agreement between Registry and a Registrant in accordance with this
Agreement, and as initially set forth in Exhibit B.
1.30. “
Registry Database ” means the infrastructure
used to store the CSC Data. For the purposes of this Agreement,
infrastructure includes, but is not limited to, engine, server,
operating systems, applications, APIs that are not otherwise CSC
Enhancements used in the Registry Services, tools and associated
source codes used to store the CSC Data.
6
Pursuant to 17
CFR 240.24b-2, confidential information has been omitted in places
marked “[* * *]” and has been filed separately with the
Securities and Exchange Commission pursuant to a Confidential
Treatment Application filed with the Commission.
Amended and Restated Common Short
Code License Agreement
1.31. “
Registry Fees ” shall be those fees collected
by Registry from Registrants for the performance of Registry
Services pursuant to the license of the CSC Registry Rights granted
by this Agreement.
1.32. “
Registry Services ” means the total service
solution provided by Registry as described in this Agreement and in
the Assignment Guidelines, for providing, maintaining,
administering, and operating an administration center and service
management system for CSCs, including, but not limited to, the data
processing system used to provide Registry Services, Registry
Software (including any Enhancements or Maintenance Modifications),
additional services permitted to be performed by Registry pursuant
to an amendment to this Agreement through the process set forth in
Article 9, provision and maintenance of the CSCA Website,
Registry utilities, hardware, Third Party software, peripherals,
communications equipment and services, and other facilities used by
Registry to provide Registry Services under this
Agreement.
1.33. “
Registry Software ” means all computer
programming code created, written and developed for or in
anticipation of the Registry Services in any form. If not otherwise
specified, the Registry Software shall include object code and
source code. The Registry Software shall include any Maintenance
Modifications created by Registry from time to time, and shall
include Enhancements thereto when added to the Registry
Software.
1.34. “
Related Service ” means a service independently
provided by Licensee, not including the Registry Services, for
which a material purpose is to encourage or promote the use of CSCs
by Content Providers, Application Providers, Aggregators, and/or
Carriers.
1.35. “
Routing Services ” means the association of CSC
address information with Registrant information.
1.36. The term
“ Service Levels ” means the service
levels for Registry Service specified in Exhibit F.
1.37. The term
“ Software ” means computer programs and
related Documentation and includes application programs, operating
system programs, utilities, templates, parameter tables and
settings, interfaces to external programs, tools, program related
data, and local area network management software.
7
Pursuant to 17
CFR 240.24b-2, confidential information has been omitted in places
marked “[* * *]” and has been filed separately with the
Securities and Exchange Commission pursuant to a Confidential
Treatment Application filed with the Commission.
Amended and Restated Common Short
Code License Agreement
1.38. “
Term ” shall mean the Initial Term, the
Automatic Renewal Terms, and any Additional Terms, as set forth in
Article 3.
1.39. The term
“ Third Party ” means any individual,
corporation, partnership, association or other entity, other than
the Parties hereto.
1.40. The term
“ Unauthorized Access ” includes
(i) a breach of security on a systems with Registry’s
ownership or control, including local area network or
telecommunications network, which contain, process or transmit CSC
Service User or Visitor data, personal information collected during
the performance of the Registry Services, or Confidential
Information, or (ii) unauthorized or illegal activities by
Registry, its employees, subcontractors or agents to obtain money
or information from or through CTIA or any CSC Service User or
Visitor, or in any way to damage CTIA or any CSC Service
User.
1.41 The term
“ Visitors ” means visitors to the CSCA
Website who are not or have not become CSC Service
Users.
2.1. During the
term of this Agreement, Registry shall have the exclusive right to
use, in accordance with the Assignment Guidelines and only for the
pool of CSCs utilized through the CTIA, (the “
License ”) (i) the CSC Registry Rights,
and (ii) a logo specified by CTIA to designate that Registry
has been exclusively licensed by CTIA to serve as the registry for
CSCs, together with (iii) the non-exclusive right to link to
pages and documents within the CSCA Website and otherwise use the
CSCA Website (collectively, the “ Licensed
Materials ”), solely in connection with the provision
of Registry Services in the United States and other services
directly related to the provision of Registry Services, provided
that the use of the Licensed Materials is consistent with the
licenses granted under this Agreement. The Parties acknowledge
that, through the exercise of the rights granted to it by the
License, Registry shall be the exclusive registry of the pool of
CSCs in the United States utilized through the CTIA during the Term
of this Agreement and shall have the right to state that it has
been so designated by CTIA, and the Parties further agree that
during the Term of this Agreement, Licensee shall serve as the
registry for the pool of CSCs in the United States utilized through
the CTIA exclusively through the Registry Services that are the
subject of this Agreement.
8
Pursuant to 17
CFR 240.24b-2, confidential information has been omitted in places
marked “[* * *]” and has been filed separately with the
Securities and Exchange Commission pursuant to a Confidential
Treatment Application filed with the Commission.
Amended and Restated Common Short
Code License Agreement
2.2. Nothing in
this Agreement shall be construed as granting to Registry a license
to use any of CTIA’s logos, trademarks, service marks,
copyrighted materials or patents (collectively, CTIA’s
Intellectual Property), except as expressly set forth herein.
Registry shall not modify or alter any of CTIA’s Intellectual
Property without the express written permission of CTIA. Any uses,
modifications or alteration of CTIA’s Intellectual Property
shall be the sole property of CTIA and shall accrue to the benefit
of CTIA exclusively.
2.3. Pursuant to
the License, Registry shall have a nontransferable, nonexclusive,
right to copy, distribute, publish and modify all of the CSC Data,
and CSC Enhancements for the sole purpose of providing the Registry
Services, and for the provision of other services directly related
to the provision of Registry Services, provided that such use is
consistent with the rights granted by the License and this
Agreement.
3.1. Initial
Term. The initial term of this Agreement will commence on the
Effective Date and shall continue until December 31, 2011,
unless otherwise terminated earlier in accordance with
Article 16 of this Agreement (“ Initial
Term ”).
3.2. Automatic
Renewal Terms . At the end of the Initial Term, this Agreement
shall automatically renew for two (2) successive two-year
periods (“ Automatic Renewal Terms ”), on
substantially the same terms and conditions as contained herein,
unless (a) Registry is in material breach of this Agreement,
and such breach has remained uncured for a period of fifteen (15)
Business days; (b ) Registry chronically fails to provide
the Registry Services, as defined in Section 16.2 of this
Agreement; (c) Registry is merged with or acquired by an
entity which is unable to comply with the Code of Conduct; or
(d) Registry otherwise ceases to be able to comply with the
Code of Conduct, and such cessation continues for a period of
thirty (30) days following the date that Registry first
becomes aware of the event causing the cessation of
neutrality.
3.3. Additional
Terms At the end of the second Automatic Renewal Term (i.e.,
December 31, 2015) , this Agreement will renew
automatically for successive one-year periods (each an “
Additional Term ”) unless it is terminated by
either party by giving written notice to the other party at least
ninety (90) days prior to
9
Pursuant to 17
CFR 240.24b-2, confidential information has been omitted in places
marked “[* * *]” and has been filed separately with the
Securities and Exchange Commission pursuant to a Confidential
Treatment Application filed with the Commission.
Amended and Restated Common Short
Code License Agreement
the end of the
second Automatic Renewal Term or then-current Additional Term, in
which case this Agreement will terminate automatically upon the
expiration of the then-current Automatic Renewal Term or Additional
Term.
4.1. Amount
. In consideration of Licensor’s entering into this Agreement
and Registry’s License to use the Licensed Materials,
Registry shall pay to Licensor the CSCA Royalties in an amount
equal to the CSCA Royalty Percentage specified in Exhibit C-2
to this Agreement.
4.2. Payment
Schedule . For all Registry Fees received by Registry between
the 1 st
and the final day of each calendar
month, Registry shall pay the applicable CSCA Royalties to Licensor
by no later than the 15 th day of the following month. All payments to
Licensor shall be in U.S. Dollars. The obligation to pay CSCA
Royalties due hereunder shall survive the expiration or termination
of this Agreement.
4.3.
Accounting . Registry shall provide CTIA with a complete
accounting of all Registry Fees within fifteen (15) days from
the last day of each calendar month. The accounting shall include
detailed information, including a list of CSCs paid for by
Registrants, the subscription periods, the amount of Registry Fees
collected, the accounts payable voucher and the wire request
form.
4.4.1. Audit
for 2008. For Registry’s 2008 fiscal year, CTIA will
conduct, at its expense, an audit of the CSC service that is
similar in scope to the audit of the CSC service conducted in 2007.
A description of the 2007 audit is attached hereto as
Exhibit H. CTIA will prepare a written plan for the 2008 audit
based on the 2007 audit description that details any requested
changes to Exhibit H (“ 2008 Audit Plan
”). The parties will coordinate the scheduling of the 2008
audit and CTIA shall provide the 2008 Audit Plan to Registry thirty
(30) days in advance of the audit being conducted, and not
later than November 15, 2008. CTIA may incorporate into the
2008 Audit Plan, revisions to Exhibit H requested by the CTIA
Audit Committee that specifically relate to the billing records,
financial records, and the internal controls associated with the
CSC service; provided, however, that in the event that such
additions and/or revisions result in an amount of time
spent
10
Pursuant to 17
CFR 240.24b-2, confidential information has been omitted in places
marked “[* * *]” and has been filed separately with the
Securities and Exchange Commission pursuant to a Confidential
Treatment Application filed with the Commission.
Amended and Restated Common Short
Code License Agreement
by
Registry’s internal professionals (such as finance,
accounting, systems, customer support, developers or other
professionals necessary to address the additions and/or revisions
(collectively referred to as “ Professionals
”)) for preparation, support, or implementation in excess of
forty (40) additional hours above and beyond time spent by
Registry’s Professionals for preparation, support, and
implementation of the audit described in Exhibit H, such
additional hours shall be billed to CTIA at Registry’s then
current rate set forth in Exhibit A. If Registry requests such
fees, it must provide a detailed and accurate report of the time
spent by its Professionals for (a) the additions and/or revisions
described above, and (b) the audit described in
Exhibit H. Such report will contain the name of the
Professional(s), the nature of the work, and the amount of time
spent on each task.
4.4.2. Audits
for 2009 and Beyond.
4.4.2.1. Beginning
with Registry’s 2009 fiscal year, and in every year of the
Term thereafter, Registry will engage, at its own expense, an
independent auditor to issue a SAS-70 Type II report, which will
include an opinion on the Registry’s controls surrounding the
CSC service. Registry will provide this report to CTIA annually,
within fifteen (15) days of receipt of the report from the
independent auditor, and in no event later than one hundred twenty
(120) days after the end of Registry’s fiscal year. In
the issued report, the auditor will express an opinion on
(1) whether the Registry’s description of controls
surrounding CSCs present fairly, in all material respects, the
relevant aspects of the Registry’s controls, (2) whether
the controls were suitably designed to achieve specified control
objectives, and (3) whether the controls that were tested were
operating with sufficient effectiveness to provide reasonable, but
not absolute, assurance that the control objectives were achieved
during the period specified. The control descriptions and control
objectives contained in the SAS-70 Type II report must be mutually
agreed to and reasonable given the audit requirements and the types
of services being performed.
4.4.2.2. In
addition, Registry shall conduct Agreed Upon Procedures (“
AUP ”) with respect to whether the CSC Fees and
Royalties reported by Registry to CTIA during the year were
properly stated. As part of the AUP, Registry’s auditor will
recalculate the CSC fees and Royalties to determine whether they
conform to the actual CSC Fees received by Registry and
the
11
Pursuant to 17
CFR 240.24b-2, confidential information has been omitted in places
marked “[* * *]” and has been filed separately with the
Securities and Exchange Commission pursuant to a Confidential
Treatment Application filed with the Commission.
Amended and Restated Common Short
Code License Agreement
Royalties paid
out to CTIA and that the procedures performed by Registry to
calculate the Royalties were in accordance with the Agreement. The
agreed upon procedures contained in the AUP report must be mutually
agreed to and reasonable.
4.4.2.3. The
parties will agree on controls and processes for the SAS-70 Type II
Report as well as the agreed upon procedures contained in the AUP
report according to the following procedures:
4.4.2.3.1. A
high-level description of the processes that will be covered in the
SAS 70 Type II and AUP reports, which has been agreed to by the
parties, is attached hereto as Exhibit I.
4.4.2.3.2.
Registry will prepare detailed control objectives and descriptions
for each process, and will present them to CTIA by July 15,
2008. CTIA, Registry, and each party’s internal auditors will
meet to discuss the objectives and descriptions, with the first
meeting occurring no later than August 15, 2008. The parties
will work in good faith to complete the control descriptions and
objectives by September 30, 2008.
4.4.2.4. SAS-70
Type II Review.
4.4.2.4.1 If the
Registry’s independent auditor issues a qualified report in
any annual audit, CTIA will have the right, at its sole expense, to
have its own auditor review and test the controls applicable to
those exceptions giving rise to the Qualified Report (“
Qualified Exceptions ”). Registry will, within
a commercially reasonable period, remedy the control environment
that gave rise to the Qualified Exception and, if warranted by the
Qualified Exception, revise the control descriptions and objectives
agreed upon under section 4.4.2.1. CTIA or its auditors will have
the right to review the actions take by Registry to remedy any
Qualified Exception. Although an act or omission giving rise to a
Qualified Exception may constitute a breach of this Agreement for
which the remedies contained in the Agreement may be available, the
mere existence of a Qualified Report or the inclusion of a
Qualified Exception in the
12
Pursuant to 17
CFR 240.24b-2, confidential information has been omitted in places
marked “[* * *]” and has been filed separately with the
Securities and Exchange Commission pursuant to a Confidential
Treatment Application filed with the Commission.
Amended and Restated Common Short
Code License Agreement
Qualified
Report will not by itself constitute a breach of this
Agreement.
4.4.2.4.2. If the
Registry’s independent auditor determines that there are
exceptions, weaknesses and/or deficiencies that do not merit the
issuance of a Qualified Report (collectively the “
Non-material Exceptions ”), Registry shall
provide to CTIA a copy of its management response to such
Non-material Exceptions and shall, upon written request by CTIA,
meet with CTIA and CTIA’s external auditors, to discuss its
response and any actions Registry may take, if necessary, to
mitigate the Non-material Exceptions. In addition, Registry will
request that its independent auditor be available to CTIA and its
external auditors to discuss such Non-Material Exceptions. CTIA
will have the right to have its own auditor review and test the
control(s) applicable to such Non-material Exceptions; provided,
however, that in the event that such review and/or testing results
in an amount of time spent by Registry’s Professionals for
preparation, support, or implementation in excess of sixteen
(16) hours, such hours in excess of sixteen (16) hours
shall be billed to CTIA at Registry’s then current rate set
forth in Exhibit A. If Registry requests such fees, it must
provide a detailed and accurate report of the time spent by its
internal Professionals for the review and/or testing described
above. Such report will contain the name of the Professional(s),
the nature of the work, and the amount of time spent on each task.
Although an act or omission giving rise to a Non-material Exception
may constitute a breach of this Agreement for which the remedies
contained in the Agreement may be available, the mere existence of
a Non-material Exception will not by itself constitute a breach of
this Agreement.
4.4.2.5 AUP Report
Review. If the Registry’s independent auditor determines that
there are exceptions in the AUP report: (a) Registry shall
provide to CTIA a copy of its management response (if applicable)
to such AUP exceptions, meet with CTIA and CTIA’s external
auditors, to discuss its response and any actions Registry may
take, if necessary, to mitigate the exceptions, and (b) CTIA
will have the right to have its own auditor re-perform the AUP at
CTIA’s expense.
13
Pursuant to 17
CFR 240.24b-2, confidential information has been omitted in places
marked “[* * *]” and has been filed separately with the
Securities and Exchange Commission pursuant to a Confidential
Treatment Application filed with the Commission.
Amended and Restated Common Short
Code License Agreement
4.4.2.6. During
the Term the parties will make mutually agreeable changes to the
control descriptions and objectives for the SAS 70 Type II Report
and AUP as warranted by changes to the CSC program or applicable
auditing standards.
4.4.3.
CTIA’s Independent Right to Review.
4.4.3.1. CTIA
shall have the right, upon thirty (30) days’ prior
written notice to Registry, to cause an independent certified
public accountant to inspect and review written records reasonably
related to the application, registration, approval, billing, and
financial records associated with the collection of Registry Fees
and payment of CSCA Royalties to CTIA (“
Records ”). CTIA’s right to conduct such
reviews is independent of sections 4.4.1 and 4.4.2 above. Such
reviews may occur no more than two (2) times per calendar
year, unless the Parties mutually agree to additional reviews. The
costs of such reviews shall be paid by CTIA; provided, however,
that if inspection reveals an underreporting of five percent (5%)
or more of any fee category or CSCA Royalties due, Registry shall
pay the reasonable third-party costs for the review and any
underpayment plus interest. Interest shall be calculated at the
rate of three quarters percent (.75%) per month, or at the highest
rate allowed by law, whichever is lower, from the date payment was
due Licensor to the date the underpayment is discovered. If
Registry disagrees with the results of the review, Registry and
Licensor shall resolve the dispute in accordance with the
provisions of Article 19 below. Registry shall make such
payments to CTIA by no later than that (i) fifteen
(15) days following the discovery of the underpayment or
(ii) fifteen (15) days following the resolution of any
dispute confirming the underpayment, whichever later. CTIA’s
right to a review of records related to CSC service by an
independent auditor shall continue for two (2) years after the
expiration or termination of this Agreement.
4.4.3.2. During
any review conducted under this section 4.4., CTIA’s
independent auditor shall have the right to make copies or receive
extracts of Records. The independent auditor shall treat all
information provided under this section as Confidential Information
and shall use such information solely for the purposes of
determining whether the Registry Fees and Royalties were properly
stated and paid to CTIA.
14
Pursuant to 17
CFR 240.24b-2, confidential information has been omitted in places
marked “[* * *]” and has been filed separately with the
Securities and Exchange Commission pursuant to a Confidential
Treatment Application filed with the Commission.
Amended and Restated Common Short
Code License Agreement
4.5. Records
Disputes. During any review conducted under Section 4.4.,
CTIA’s independent auditor may request to review any Records.
If the Registry is unwilling to provide any of those items, then,
at Licensor’s request, Registry will meet to discuss the
auditing procedures under the internal dispute resolution terms of
section 19.1; provided, however, that in no event shall Registry be
required to make available any internal or external audit work
papers.
4.6 Record
Retention. Registry shall maintain complete, clear, and
accurate Records.
4.7. Additional
Hours . For any additional Registry professional fees to be
charged to CTIA under this Article 4, Registry must provide to
CTIA an estimate of the number of professional hours required. If
CTIA believes that the estimate is unreasonable, or if the number
of hours billed materially exceeds the estimate, then CTIA may
invoke the internal dispute resolution terms of section
19.1.
5.
INDUSTRY-RESERVED RIGHTS .
5.1. Approval
of Licensee . The Common Short Code Working Group, acting on
behalf of the participating members of the wireless
telecommunications industry, has consented to CTIA’s
licensing of NeuStar, Inc. to act as the Registry of CSCs pursuant
to this Agreement. CTIA’s Board of Directors retains the
right, exercisable as the full Board or through its Executive
Committee, to approve any assignment by Registry of its rights and
obligations under this Agreement pursuant to Article 15 below,
and any grant of a license to use the CSC Registry Rights to a
successor provider of Registry Services in connection with the
termination of this Agreement pursuant to Article 16
below.
5.2. Regulatory
and Legislative Considerations . As described in
Article 18 below, the CSC Service Users are or may be subject
to certain federal and state laws and regulations promulgated
thereunder, as well as rules, regulations, orders, opinions,
decisions and possible approval of the FCC and other regulatory
bodies having jurisdiction or delegated authority over CSC Service
Users and the CSC Service. CTIA’s Board of Directors or its
Executive Committee, acting on behalf of the participating members
of the wireless telecommunications industry, has retained the right
to direct CTIA, acting as the Common Short Code Administrator, to
seek changes and modifications to this Agreement or to the
Registrant
15
Pursuant to 17
CFR 240.24b-2, confidential information has been omitted in places
marked “[* * *]” and has been filed separately with the
Securities and Exchange Commission pursuant to a Confidential
Treatment Application filed with the Commission.
Amended and Restated Common Short
Code License Agreement
Sublicense
Agreement to reflect such regulatory and legislative considerations
in accordance with Articles 9 and 18.
5.3. Technology
Changes . The CTIA’s Board of Directors or its Executive
Committee, acting on behalf of the participating members of the
wireless telecommunications industry, has retained the right to
direct CTIA, acting as the Common Short Code Administrator, to seek
changes and modifications to this Agreement or to the Registrant
Sublicense Agreement to reflect the experience of members of the
industry in the provision of Registry Services or to reflect
subsequent improvements in available technology that, in either
case, indicate that changes should be made to the then-existing
functionality of Registry Services. Any such changes or
modifications shall be in accordance with Article 9 of this
Agreement.
6.1. In
General . In accordance with the license granted by this
Agreement, Registry represents that it shall provide the Registry
Services in the manner described in this Article 6 and will
use the Licensed Materials only to provide Registry Services in the
manner so described. In addition, Registry represents that it shall
provide the Registry Services and other services directly related
to the provision of Registry Services, to CSC Service Users and
Visitors, according to the applicable terms and conditions of this
Agreement and, where applicable, in accordance with the Assignment
Guidelines set forth in Exhibit D. CTIA may make changes to
the Assignment Guidelines by sending notice of such changes to
Registry. Registry shall comply with such changed Assignment
Guidelines, provided that, if the changes affect Registry or
constitute Additional Services under section 9.1, then such changes
are subject to mutual agreement under the procedures in section
9.1. Registry may use the Licensed Materials for the provision of
Routing Services, provided that such use is consistent with the
licensed granted under this Agreement. Furthermore, Registry will
not utilize the Licensed Materials for any other purpose (other
than as set forth in this Agreement) except to provide additional
services authorized from time to time by the execution of an
amendment to this Agreement permitting the use of the Licensed
Materials in connection with such additional services, as
contemplated by Article 9. Registry also represents that it
shall maintain the Registry Database, collect and process CSC
applications and registrations, and provide access by
the
16
Pursuant to 17
CFR 240.24b-2, confidential information has been omitted in places
marked “[* * *]” and has been filed separately with the
Securities and Exchange Commission pursuant to a Confidential
Treatment Application filed with the Commission.
Amended and Restated Common Short
Code License Agreement
Carriers to the
Registry Database in accordance with the Assignment Guidelines.
CTIA in no way represents itself as guarantor of the quality of the
Registry Services to be provided by Registry.
6.2. Leases of
CSCs . Individual CSCs will be leased by Registry at a rate per
calendar month, for a minimum of three (3) months, to
qualified CSC participants. CSCs shall be offered in three (3), six
(6) and twelve (12) month terms.
6.3.1. In
General . The specific CSCs available for the catalog shall be
as set forth in the Assignment Guidelines, and shall be assigned by
Registry on a first-come, first-served basis from the list of
available CSCs. The Parties may mutually agree to modify the form,
type and range of such CSCs pursuant to an amendment to this
Agreement in accordance with Article 9 of this
Agreement.
6.3.3. Random
CSCs. Unless an Applicant selects one of the CSCs listed in
Section 6.3.4, all CSCs shall be assigned on a random
basis.
6.3.4. Selected
CSCs . Selected CSCs shall be those CSCs that are specifically
requested by an Applicant and Registered by a Registrant.
Assignment of these CSCs shall be on a first-come, first-served
basis, provided that those CSCs are available.
6.3.5. Carrier
Reserved CSCs. Carriers may request CSCs that are otherwise
available to be excluded or removed from the general pool of
registration. Carriers may return Carrier Reserved CSCs to the
available pool of CSCs at any time. Nothing in this Agreement is
intended to limit a Carrier’s use of Carrier Reserved CSCs
within the pool of CSCs utilized through CTIA for the purpose of
conducting their own promotions and campaigns and may offer access
to other carriers of such codes to further such promotions and
campaigns; provided however, that nothing under this subsection is
intended to allow carriers to reserve CSCs for Third Party
sponsored campaigns or promotions.
17
Pursuant to 17
CFR 240.24b-2, confidential information has been omitted in places
marked “[* * *]” and has been filed separately with the
Securities and Exchange Commission pursuant to a Confidential
Treatment Application filed with the Commission.
Amended and Restated Common Short
Code License Agreement
Registry shall
have no obligation to verify whether a Carrier has reserved CSCs
for Third Party sponsored campaigns or promotions, but will have an
obligation to ensure that Carrier-Reserved CSCs are removed from
the general pool of registration.
6.4. Process
for Obtaining a CSC. The process for applying for and
registering a CSC shall be as set forth in the Assignment
Guidelines. The Parties may mutually agree to change, modify or
alter such process at any time.
6.4.1.
Registrant Sublicense Agreement
6.4.1.1. Registry
shall enter into a registrant sublicense agreement with each
Registrant (“ Registrant Sublicense Agreement
”) (a) granting the Registrant the right to access
individual CSCs for the specified term, and (b) entitling the
Registrant to the applicable Registry Services. The Registrant
Sublicense Agreement shall initially be in the form attached to
this Agreement as Exhibit B and may only be modified by
Registry with the consent of CTIA, which consent shall not be
unreasonably withheld. Registry shall have the exclusive authority
to enforce the terms and conditions of such Registrant Sublicense
Agreement.
6.4.1.2. Registry
shall be entitled to charge and collect the Registry Fees set forth
in Exhibit C-1 and shall timely invoice and collect the
Registry Fees from the Registrants. Registry reserves the right to
amend the Registry Fees throughout the term of this agreement,
provided that CTIA consents to such modifications, which consent
shall not be unreasonably withheld. In addition, the prices may be
increased through an amendment to this Agreement as approved by the
Parties, with such approval not to be unreasonably withheld, to
reflect demonstrated increases in the net costs of providing
Registry Services arising from (a) new or revised
specifications or policies adopted after the Effective Date, or (b)
legislation or regulations specifically applicable to the provision
of Registry Services adopted and in force after the Effective Date,
to ensure that Registry recovers such costs and a reasonable profit
thereon.
18
Pursuant to 17
CFR 240.24b-2, confidential information has been omitted in places
marked “[* * *]” and has been filed separately with the
Securities and Exchange Commission pursuant to a Confidential
Treatment Application filed with the Commission.
Amended and Restated Common Short
Code License Agreement
6.6.1. During the
Term of this Agreement, and any Subsequent Term, Registry shall
maintain and host the www.usshortcodes.com website, on which
Registry Services are provided to CSC Service Users (“
CSCA Website ”). The Parties shall mutually
agree on the format, design and look and feel of the CSCA Website.
In addition to links to the CTIA Site, the CSCA Website shall
contain links to Registry’s website, located at
www.neustar.biz along with references to “NeuStar,
Inc.” serving as the Registry for CSCs.
6.6.2. Registry
agrees that it shall maintain the CSCA Website in accordance with
the Service Levels, use commercially reasonable efforts to keep the
CSCA Website free from defects in materials and workmanship, and
remedy any failure of the CSCA Website, any other malfunction,
defect or non-conformity in the product specifications and
functions that impairs use of the CSCA Website in accordance with
the Service Level Agreement, set forth in Exhibit F. Except as
set forth in Section 16.2, the remedies set forth in the Service
Level Agreement shall be the sole and exclusive remedies for
violations of the Service Levels.
6.6.3. CTIA shall
provide to Registry a reasonable privacy policy for use in
connection with the CSCA Website. Such privacy policy will be
posted conspicuously at the CSCA Website. Registry shall collect,
use, store, access and share personal information collected through
the CSCA Website or otherwise in the performance of the Registry
Services in accordance with privacy policy and in compliance with
applicable law. Registry shall be responsible for any Unauthorized
Access or any other unauthorized use or sharing of such personal
information. Registry shall use at least industry standard
administrative, technical, and physical safeguards intended to
prevent Unauthorized Access.
6.6.4. As between
CTIA and Registry, CTIA, on behalf of all participating Carriers,
owns all right, title, and interest in the
www.usshortcodes.com domain name, including any trademarks,
copyright or other intellectual property rights associated with the
www.usshortcodes.com domain name. Registry neither has, nor
shall acquire, any rights to the www.usshortcodes.com domain
name except the right to use it in order to meet its obligations
under this Agreement.
19
Pursuant to 17
CFR 240.24b-2, confidential information has been omitted in places
marked “[* * *]” and has been filed separately with the
Securities and Exchange Commission pursuant to a Confidential
Treatment Application filed with the Commission.
Amended and Restated Common Short
Code License Agreement
6.6.5 The
www.usshortcodes.com domain name shall reside in a domain
name registration account maintained by CTIA. CTIA will be listed
as the domain name registrant and the technical, administrative,
and billing contact in such account, and Registry will be listed as
the “Account Exec” in the current GoDaddy domain
account, or an equivalent position if the domain name is moved to
any other domain registrar.
6.6.6. CTIA will
notify Registry of any changes or modifications in the registration
information for the usshortcodes.com URL that CTIA institutes
during the term of this Agreement, including any changes to the
name servers and/or associated IP addresses (such information, the
“ URL Information ”); provided that CTIA
shall provide advance notice of any changes or modifications to the
name servers and/or associated IP addresses. Registry shall not be
liable for any demands or claims brought by a Third Party against
CTIA or Registry if the CSCA Website becomes unavailable as the
result of CTIA’s failure to notify Registry of CTIA’s
changes or if CTIA modifies the URL Information. In addition, CTIA
acknowledges that its failure to notify Registry of CTIA’s
changes, or if CTIA modifies the URL Information, such actions may
materially affect the provision of Registry Services. In addition,
the Parties shall cooperate to keep all URL Information accurate
and up-to-date, and shall comply with any obligations set forth in
the registration agreement with the selected domain name registrar.
Therefore, Registry shall not be liable to the CTIA for any breach
of this Agreement as the result of CTIA’s failure to notify
Registry of CTIA’s changes, CTIA’s modifications to the
URL Information, and for CTIA’s non-compliance with its
registration agreement.
6.6.7. Branding
and Website Guidelines. CTIA and Registry have agreed on
Branding and Website Guidelines, which are basic guidelines
regarding use of colors, logo(s), types of images, and branding on
the CSCA website as well as in HTML service e-mails from the CSCA
to CSC Users. The initial such guidelines are attached hereto as
Exhibit J. Registry will ensure that the CSCA Website, service
e-mails, and any other materials created or published in connection
with the CSC Services are consistent with the Branding and Website
Guidelines.
6.6.8. Changes
to the Registry Services and CSCA Website. Registry will not
make any changes to the CSCA Website, registry operation, or the
navigation of a customer’s experience throughout the lease of
a CSC, except as follows:
20
Pursuant to 17
CFR 240.24b-2, confidential information has been omitted in places
marked “[* * *]” and has been filed separately with the
Securities and Exchange Commission pursuant to a Confidential
Treatment Application filed with the Commission.
Amended and Restated Common Short
Code License Agreement
6.6.8.1.
Category 1 Changes.
6.6.8.1.1. Subject
to the requirements of section 6.6.8.1.2 below, Registry may make
the following changes without advance consent by CTIA, so long as
it provides notice to CTIA of such change:
6.6.8.1.1.1.
Existing Copy on Website — Registry may make copy
changes and editing to the content of the CSCA Website if such
changes are intended to improve the language or grammar, or to
update the content that relates to description of the existing CSC
programs, provided that such changes are consistent with the
requirements of Exhibit J;
6.6.8.1.1.2.
CSC Directory — Registry may continue to optimize the
CSC Directory’s technical capability to increase ease of
use;
6.6.8.1.1.3.
Resource Center — Registry may continue to grow and
add to the resource center, including adding articles, whitepapers,
and other resources related to Common Short Codes, except that any
such resources that mention or relate to the Related Services or
other services offered by Registry must be approved under the
Category 2 process specified below. CTIA has the right to direct
Registry to add similar content to the resource center, which
Registry agrees to add as soon as reasonably practical, but in no
event later than five (5) Business Days after such
request.
6.6.8.1.1.4.
General Notices — Registry can post notices relevant
to planned service outages and other general operational
information related to the operation of the CSC Registry or the
CSCA Website, including Applicants’ and/or Registrants’
accounts.
6.6.8.1.2. For the
Category 1 changes listed above, Registry must provide reasonable
written notice of the proposed change (including the specifics of
such proposed change). Registry shall be allowed to make such
change at its discretion. If CTIA objects to a Category 1 change,
CTIA will provide a detailed explanation and may offer a proposed
rewrite of such changes to make the proposed changes acceptable to
the CTIA.
21
Pursuant to 17
CFR 240.24b-2, confidential information has been omitted in places
marked “[* * *]” and has been filed separately with the
Securities and Exchange Commission pursuant to a Confidential
Treatment Application filed with the Commission.
Amended and Restated Common Short
Code License Agreement
Registry must
promptly reverse the change until the parties resolve the dispute.
The Parties shall then arrange for a conference call, no later than
two (2) Business Days after Registry’s receipt of such
objection, to resolve the dispute.
6.6.8.2.
Category 2 Changes.
6.6.8.2.1. Subject
to the requirements of section 6.6.8.2.2. below, Registry may make
the following changes after providing ten (10) Business
Days’ prior notice to CTIA.
6.6.8.2.1.1.
Website tuning — Registry may make CSCA Website
navigation cleaner and more relevant to the visitor. This includes
adjustments to the navigation buttons, pull down items, hotlinks,
graphics, mapping, etc.;
6.6.8.2.1.2.
Search — Registry can continue to improve the search
capability;
6.6.8.2.1.3.
Registry may make substantive changes to the content of the CSCA
website related to the policies and procedures of obtaining a
CSC;
6.6.8.2.1.4.
Registry may make changes to the Aggregator Tier 1, Tier 2 and Tier
3 listings;
6.6.8.2.1.5.
Registry may make substantive changes to the content under the
“Obtain a Code” tab on the CSCA Website;
6.6.8.2.1.6.
Registry may include Registry press releases that are related to
the provisioning of CSCs pursuant to this Agreement.
6.6.8.2.2. For the
Category 2 changes listed above, CTIA shall have no more than ten
(10) Business Days to substantively respond to written notice
by stating either its acceptance of the proposed changes, or if
there is an objection, a detailed explanation for the rejection.
If, by ten (10) Business Days after CTIA’s receipt of
Registry’s written notice of an intended Category 2 change,
CTIA has not responded to Registry’s proposed Content Change,
Registry may implement the Category 2 change.
22
Pursuant to 17
CFR 240.24b-2, confidential information has been omitted in places
marked “[* * *]” and has been filed separately with the
Securities and Exchange Commission pursuant to a Confidential
Treatment Application filed with the Commission.
Amended and Restated Common Short
Code License Agreement
However, if at
a later date CTIA objects to a Category 2 change, Registry must
remove that Category 2 change as soon as reasonably practicable,
but in no event later than five (5) Business Days after
receipt of CTIA’s objection. If CTIA rejects a proposed
Category 2 change, at Registry’s written request, CTIA will
provide, within ten (10) Business Days of such written
request, a detailed explanation and may offer a proposed rewrite of
such changes to make the proposed changes acceptable to the CTIA.
The Parties shall then arrange for a conference call within two
(2) Business Days to resolve the dispute.
6.6.8.3.
Category 3 Changes. Registry may not make any other changes
without CTIA’s prior written approval, including without
limitation:
6.6.8.3.1. Changes
to the policies and procedures for obtaining a CSC or making
payments to obtain a CSC;
6.6.8.3.2. Any new
product or product enhancement to the CSC Registry functionality
that requires a change to the Registrant Sublicense
Agreement;
6.6.8.3.3. Any
change to the Registrant Sublicense Agreement;
6.6.8.3.4.
Substantive material changes to the Assignment
Guidelines;
6.6.8.3.5. Any
changes to the Exhibits;
6.6.8.3.6. Any
changes to a CSC product offering that requires a change to the
privacy policy, including any changes to the privacy
policy;
6.6.8.3.7. The
addition of articles, whitepapers and other resources to the
Resource Center if those resources mention or relate to any
services offered by Registry, including Related Services;
and
6.6.8.3.8. Any
changes or additions to the fields of data provided by CSC Service
Users or Visitors.
23
Pursuant to 17
CFR 240.24b-2, confidential information has been omitted in places
marked “[* * *]” and has been filed separately with the
Securities and Exchange Commission pursuant to a Confidential
Treatment Application filed with the Commission.
Amended and Restated Common Short
Code License Agreement
6.7. Reserved
Rights by the Registry . In addition to the reservation of
right for the Registry in the Registrant Sublicense Agreement, the
Parties acknowledge that Registry shall have the right to suspend
access to the Registry Services by any CSC Service User, including
but not limited to, a Carrier, that either (i) acts in a
manner that is inconsistent with the Assignment Guidelines, or
(ii) acts in a manner which prevents the Registry from
performing its obligations under this Agreement and the Assignment
Guidelines. In the event of such a suspension of a Carrier,
Registry shall (a) consult with the CTIA regarding such
action; and (b) offer such Carrier a reasonable period to cure
such actions; provided that such actions by the Carrier do not
threaten the stability or integrity of the Registry Services, as
determined by Registry, in its sole discretion. In addition,
Registry shall consent to an expedited dispute resolution process
similar to the process set forth in Section 19.2 with any
Carrier that disputes a suspension as set forth in this
Section 6.7.
6.8. Code of
Conduct . Registry shall comply with its Code of Conduct
attached as Exhibit E. Any changes to that Code of Conduct
will require CTIA’s approval.
6.9. Provision
of Registry Services; Service Level Adjustments. Registry shall
use commercially reasonable efforts, which shall be no less than
the prevailing industry standard for the performance of comparable
Registry Services, to ensure that it provides the Registry Services
in accordance with the Services Levels, attached hereto and
incorporated herein. In the event that Registry is unable to meet
the Service Levels, Registry shall pay the associated Service Level
penalty(ies) set forth in Exhibit F. Registry shall use
commercially reasonable efforts to remedy any Service Level
violation(s) expeditiously. Except in the case of Chronic Failure,
as set forth in Section 16.2, the monetary penalty(ies) set
forth in Exhibit F shall be the sole and exclusive remedy for
failure to meet any of the Service Levels.
6.10. Data
Escrow. All CSC Data will be backed up on a nightly basis
either by full or incremental backups. Nightly backups will be
contained in the automatic tape library providing a 24-hour worst
case risk exposure. In addition, Registry shall combine each daily
backup per month onto a monthly backup tape and will retain such
tapes at a backup facility, at Registry’s sole discretion,
for a period of no less than two (2) years from expiration or
termination of this
24
Pursuant to 17
CFR 240.24b-2, confidential information has been omitted in places
marked “[* * *]” and has been filed separately with the
Securities and Exchange Commission pursuant to a Confidential
Treatment Application filed with the Commission.
Amended and Restated Common Short
Code License Agreement
Agreement.
Furthermore, Registry shall provide to CTIA a copy of such CSC Data
once per month, or more often as the Parties mutually agree, in
human (comma delimited ASCII) readable form.
6.11.
Security/Unauthorized Access. Registry agrees to take
reasonable steps to develop and maintain the security of the
servers that hosts the CSCA Website, which measures shall not be
less than the measures taken by Registry to protect the security
and integrity of Registry’s website. In addition, Registry
shall maintain and enforce safety and physical security procedures
at a level consistent with the level of security provided with
respect to any other comparable service provided to
Registry’s customers. In the event Registry becomes aware of
an Unauthorized Access to CSC Data or the Registry Services,
Registry shall immediately (i) notify CTIA in writing; (ii)
investigate the Unauthorized Access; and (iii) subject to
reasonable access, security, and confidentiality requirements,
provide CTIA and its respective designees with reasonable access to
all resources and information in Registry’s possession as may
be necessary to investigate the Unauthorized Access, including the
results of such investigation.
6.12. Data
Rights; New Services.
6.12.1 Related
Services using Basic Account, CSCA Website, and CSC Directory
Information.
6.12.1.1. Subject
to the other provisions in the Agreement, and the confidentiality
and privacy policy obligations in the Registrant Sublicense
Agreement and the Common Short Code Administrator Privacy
Agreement, Registry shall have the non-exclusive, royalty-free,
limited right to use, solely for the purposes of providing Related
Services: (i) [* * *], (ii) [* * *], and (iii) [* * *] (such data
from subsections (i), (ii), and (iii), collectively the “
Licensed User Data ”). If Registrants have
opted-in through the mechanisms specifically set forth in this
Agreement and Exhibit K to allow Registry to retrieve the
Licensed User Data from the [* * *], Registry may access the [* *
*] to retrieve such information and may use the Licensed User Data
as set forth in this Agreement. If Registrants have not opted in to
allow Registry to access such Licensed User Data, Registry shall
not access or use (a) the CSC Data to collect or use such
information, or (b) any meta-data associated with CSC
Data.
25
Pursuant to 17
CFR 240.24b-2, confidential information has been omitted in places
marked “[* * *]” and has been filed separately with the
Securities and Exchange Commission pursuant to a Confidential
Treatment Application filed with the Commission.
Amended and Restated Common Short
Code License Agreement
6.12.2.
Promotion of Related Services.
6.12.2.1.
Promotion through the CSCA Website . Registry may promote or
offer the Related Services through the use of hyperlinks and/or
graphics containing hyperlinks in accordance with Exhibit K.
Except for the above listed hyperlink placements, the Related
Services may not be promoted or offered by Registry through any
other means on the CSCA Website unless otherwise approved in
writing by CTIA. Registry may not promote Related Services during
the application process to lease a CSC, [* * *]. Subject to the
restrictions in this Agreement, the content of such links shall be
considered Category 1 changes as defined below, provided that the
links conform to the requirements of Exhibit K.
Registry’s right to place links is nonexclusive and,
consistent with the requirements in Exhibit K, CTIA may grant
Third Parties rights of placement on the CSCA Website, and may
require that links to CTIA websites be placed on the CSCA
Website.
6.12.2.2.
Promotion of Related Service through means outside of the CSCA
Website. [* * *] To that end, opt-in language shall be included
on pages within the CSCA website, as provided in Exhibit K.
Any such marketing or promotion of the Related Services shall meet
the following requirements:
6.12.2.2.1.
Registry will not send any marketing material to a CSC Service User
unless that CSC Service User has opted-in to receive marketing
material from Registry;
6.12.2.2.2.
Marketing material sent by Registry must not contain any CSCA
branding or logos, or any colors, images, text, or other content
that might cause the recipient to believe that the CSCA is
responsible for, or endorses, the Related Service or the marketing
material;
26
Pursuant to 17
CFR 240.24b-2, confidential information has been omitted in places
marked “[* * *]” and has been filed separately with the
Securities and Exchange Commission pursuant to a Confidential
Treatment Application filed with the Commission.
Amended and Restated Common Short
Code License Agreement
6.12.2.2.3. All
marketing material must clearly state (a) that it is marketing
a Related Service, (b) the nature of the Related Service, and
(c) that Registry is the party offering the Related Service;
and
6.12.2.2.4. All
marketing materials must comply with any applicable
laws.
6.12.3.
Effective Date of Data Rights and New Services. The rights
granted to Registry under this section 6.12. will not take effect
until January 1, 2009.
6.12.4.1. Registry
shall not use the Licensed User Data for any purpose other than
providing the Related Services, and only as set forth in this
Agreement.
6.12.4.2. Registry
may not use any CSC Data or Licensed User Data to offer, market, or
provide any system of common or carrier-specific short codes, other
than the Registry Services provided under this Agreement. Nothing
in this Section 6.12.4.2. shall be interpreted to mean that
Registry may not offer, market or provide any service that competes
with the services provided hereunder, provided that: (1) the
offering of such services do not utilize Licensed User Data or CSC
Data, (2) such services are not promoted by the Registry on
the CSCA Website; and (3) through the processes set forth in
Article 9, the Registry shall allow CTIA to expand the CSC
Data collected by the Registry to include the types of CSC Data
collected by Registry for its own CSC monitoring services or other
CSC services; provided, however, that nothing herein shall
(a) require Registry to turn over any data it has collected
from its own monitoring or other services or (b) restricts
Registry from continuing to collect and use such data through
sources outside of the performance of Registry Services.
6.12.4.3. No
Licensed User Data shall be provided to Registry from the CSCA
website or database unless Registry obtains a specific opt-in from
an Applicant or Registrant, which may be obtained through the
process set forth in section 6.12.2 above.
27
Pursuant to 17
CFR 240.24b-2, confidential information has been omitted in places
marked “[* * *]” and has been filed separately with the
Securities and Exchange Commission pursuant to a Confidential
Treatment Application filed with the Commission.
Amended and Restated Common Short
Code License Agreement
6.12.5. Registry
shall indemnify CTIA, under the procedures set forth in section
12.2 of this Agreement, for all claims arising from the Related
Services, including the content of the links to Related Services or
any articles, whitepapers or other content about the Related
Services (even if such content is reviewed and/or approved by
CTIA).
6.12.6. Reports
on the use of the Licensed User Data . Within fifteen
(15) days of the end of every calendar month in which Registry
offers Related Services, Registry will provide to CTIA a report
that contains a general description of each Related Service offered
by Registry and the categories of Licensed User Data used in each
such Related Service.
6.12.7. Equal
Access to Advertising and Opt-Ins. If CTIA grants to any Third
Party a right to advertising or opt-in placement in the places on
the CSCA Website in which Registry may place advertising and/or
opt-ins (as listed in Exhibit K), then CTIA shall either (a)
require that such Third Party adhere to the restrictions on
advertising and opt-ins stated in this Agreement and in
Exhibit K, or (b) offer Registry the same level of
advertising and opt-in restrictions offered to such Third Party for
the duration of the Third Party’s advertising or
opt-placement. If CTIA grants to any Third Party a right to
advertising or opt-in placement in confirmation emails or in places
on the CSCA Website in which Registry may not place advertising
and/or opt-ins under this Agreement, then CTIA shall offer to
Registry the right to such placement under the same terms,
conditions, and restrictions (e.g., frequency, size, price, and
advertisement or opt-in type) granted to such Third
Party.
6.13 Carrier
Working Group . CTIA will host Carrier working group meetings.
The participants in such meetings will be Registry, CTIA, and those
Carriers who participate in the CSC program and elect to
participate in the working group meetings. To the extent possible,
two (2) in-person meetings per year shall be held during (or
immediately prior to or after) CTIA’s existing industry
events. CTIA will host at least two additional meetings per
calendar year by phone or in person.
28
Pursuant to 17
CFR 240.24b-2, confidential information has been omitted in places
marked “[* * *]” and has been filed
separately with the Securities and Exchange Commission pursuant to
a Confidential Treatment Application filed with the
Commission.
Amended and Restated Common Short
Code License Agreement
Registry’s attendance and participation in
the meetings will be at its own expense.
6.14 Marketing
Fund. CTIA and Registry shall discuss the establishment of a
marketing fund to be used for direct, out-of-pocket expenses
related to education, promotion, and generation of awareness of
CSCs.
6.14.1.
Neither party will be obligated to contribute to the marketing fund
if the parties cannot agree on a marketing plan.
6.14.2.
If a marketing plan is approved, the parties will meet at least
once per quarter, by phone or in person, to discuss the success of
the marketing plan.
7. OWNERSHIP
AND LICENSE OF INTELLECTUAL PROPERTY .
7.1.
Ownership of CSC Registry Rights. As between CTIA and
Registry, CTIA shall, on behalf of all Participating Carriers, own
all right, title and interest in the CSC Registry Rights, including
the CSC Data, the Assignment Guidelines and CSC Enhancements and
the Intellectual Property and Documentation associated with them,
but excluding Registry IP set forth in Section 7.3. Registry shall
acquire no rights, including Intellectual Property rights, title or
ownership in the CSC Registry Rights, including the CSC Data and
the CSC Enhancements, by virtue of the License granted by this
Agreement or by virtue of its use of the CSC Registry Rights,
except the right to use the CSC Registry Rights in accordance with
this Agreement. Except as may be provided otherwise by this
Agreement, all uses of the CSC Registry Rights by Registry shall
inure to the benefit of CTIA on behalf of the Participating
Carriers.
7.2.
Enforcement of Ownership of CSC Registry Rights . Registry
acknowledges that irreparable damage would result from unauthorized
use of the CSC Registry Rights and that CTIA would have no adequate
remedy at law to redress such a breach. Therefore, Registry agrees
that, in the event of such a breach, specific performance and/or
injunctive relief, may be awarded by a Court of competent
jurisdiction. Such relief may be obtained without the necessity of
a bond.
29
Pursuant to 17
CFR 240.24b-2, confidential information has been omitted in places
marked “[* * *]” and has been filed
separately with the Securities and Exchange Commission pursuant to
a Confidential Treatment Application filed with the
Commission.
Amended and Restated Common Short
Code License Agreement
7.3.
Ownership of Other Intellectual Property. Registry shall own
Intellectual Property created by or for Registry in the performance
of the Registry Services pursuant to the License, including the
Registry Software, Registry Database, Maintenance Modifications,
and Enhancements and Documentation related thereto, but excluding
CSC Enhancements, CSC Data, the Assignment Guidelines and the CSCA
Website and related Documentation (“ Registry
IP ”). CTIA shall acquire no rights, including
Intellectual Property rights, title or ownership in the Registry IP
by virtue of its use of such service, except the right to use the
Registry IP in accordance with this Agreement. Except as may be
provided otherwise by this Agreement, all uses of the Registry IP
by CTIA shall inure to the benefit of Registry.
7.4.
Enforcement of Ownership of Registry IP . CTIA acknowledges
that irreparable damage would result from unauthorized use of the
Registry IP and that Registry would have no adequate remedy at law
to redress such a breach. Therefore, CTIA agrees that, in the event
of such a breach, specific performance and/or injunctive relief,
without the necessity of a bond, may be awarded by a Court of
competent jurisdiction.
7.5.
Ownership of CSCA Website . CTIA shall own all right, title
and interest in the content, branding and “look and
feel” of the CSCA Website, including the html code underlying
such elements, and in all Intellectual Property and Documentation
associated with those elements, but excluding Registry
IP.
7.6.
Use of Registry’s Logo by CTIA . Registry hereby
grants to CTIA a non-exclusive, worldwide, royalty-free license
during the term of this Agreement: a) to state that Registry
has been designated as the CSC Registry for the provision of CSCs,
(b) to use a logo specified by Registry to signify that it is
designated as such, and (c) to link to pages and documents
within the Registry web site. Nothing in this Agreement shall be
construed as granting to CTIA a license to use any of
Registry’s logos, trademarks, service marks, copyrighted
materials or patents (collectively, Registry’s Intellectual
Property), except as expressly set forth herein. CTIA shall not
modify or alter any of Registry’s Intellectual Property
without the express written permission of Registry. Any uses,
modifications or alteration of Registry’s Intellectual
Property shall be the sole property of Registry and shall accrue to
the benefit of Registry exclusively.
30
Pursuant to 17
CFR 240.24b-2, confidential information has been omitted in places
marked “[* * *]” and has been filed separately with the
Securities and Exchange Commission pursuant to a Confidential
Treatment Application filed with the Commission.
Amended and Restated Common Short
Code License Agreement
7.7.
Press Releases. The Parties shall mutually agree upon joint
press releases, provided, however, that Registry press releases
that merely mention NeuStar, Inc.’s role as the CSC Registry
do not require notice or consent of CTIA. Press releases related to
CSCs, Registry Services, and related matters must mention CTIA
first and Registry second. The initial reference to CTIA will use
CTIA’s full name, CTIA – The Wireless
Association ® .
8. CSC
SERVICE USERS PROBLEM RESOLUTION .
Registry shall
provide a “Help Desk” to CSC Service Users to
(i) help CSC Service Users in answering routine questions and
resolving problems with respect to use of the Registry Services and
(ii) enable CSC Service Users to report any failure of the
Registry Services. In addition to telephone access, the “Help
Desk” shall also include access by means of electronic mail
service. The Help Desk shall be made available seven (7) days
a week, twenty-four (24) hours a day. Registry shall provide
personnel to answer the Help Desk during Normal Business Hours and
will have personnel on call for calls to the Help Desk during all
other hours. All common carrier charges incurred by CSC Service
Users and all costs of telephone and terminal equipment incurred by
CSC Service Users shall be the responsibility of the CSC Service
Users using the Help Desk. Registry shall make a diligent effort to
promptly acknowledge and respond to CSC Service Users’
contacts to the Help Desk.
9.1.
Requested by CTIA . During the term of this Agreement, CTIA
may request that Registry provide new or additional services to CSC
Service Users or make certain changes in the Registry Services to
CSC Service Users , including, without limitation,
(i) the addition of new or different functionality to the
Registry Services, (ii) a modification, reduction or expansion
of existing functionality of the Registry Services, (iii) the
offering of additional support, training, consulting services or
any other addition to or modification or expansion of the Registry
Services, (iv) an increase or decrease in any new or
additional services or changes previously requested pursuant to
this Article 9, or (v) CSC routing services (collectively
(including changes, modifications and reductions) “Additional
Services”). CTIA will initiate its request for Additional
Services by delivering a proposal to Registry detailing the
Additional Services being requested and any requirements to be
met.
31
Pursuant to 17
CFR 240.24b-2, confidential information has been omitted in places
marked “[* * *]” and has been filed separately with the
Securities and Exchange Commission pursuant to a Confidential
Treatment Application filed with the Commission.
Amended and Restated Common Short
Code License Agreement
Registry may
request further information or clarification, if needed by
Registry, to formulate a response. Within three (3) weeks (or
such longer or shorter period mutually agreed to by the Parties)
after Registry’s receipt of CTIA’s request (or, if
later, Registry’s receipt of any information or clarification
requested by it), Registry shall respond with a proposed amendment
to this Agreement, which shall be prepared and finalized in
accordance with the requirements of this Article 9. As part of
its response to any request from CTIA for Additional Services that
CTIA states are intended to benefit more than one CSC Service User,
Registry shall offer: (1) a price if paid by CSC Service Users
by a specified date, and (2) a price if paid by CSC Service
Users over the remaining term of this Agreement. Registry shall
perform changes in Registry Services pursuant to this section 9.1
on a time and materials basis at no more than the blended rate
listed on Exhibit A.
9.2.
Proposed by Registry. During the term of this Agreement,
Registry may propose Additional Services to CTIA and/or CSC Service
Users, including without limitation Enhancements developed by
Registry arising out of its own research and development or in
connection with a request for services from a CSC Service User.
Registry will initiate this process by delivering a proposal to
CTIA detailing the Additional Services being proposed. If CTIA
wishes to accept the proposal for Additional Services, it shall
notify Registry in writing, and Registry shall respond within three
(3) weeks (or such longer or shorter period mutually agreed to
by the Parties) with a proposed amendment to this Agreement. The
proposed Amendment shall be prepared and finalized in accordance
with the requirements of this Article.
9.3.
Changes Pursuant to Agreed-Upon Changes in Service Levels.
During the term of this Agreement, CTIA and Registry may agree upon
a change in Service Levels that would necessitate the rendering of
Additional Services. In such cases, Registry shall prepare for CTIA
a proposed amendment to this Agreement, which shall be prepared and
finalized in accordance with the provisions of this
Article.
9.4.
Amendment relating to Additional Services. Each proposed
amendment to this Agreement submitted by either Party pursuant to
this Article shall be specifically identified as being proposed
pursuant to this Article 9, and shall set forth at least the
following:
32
Pursuant to 17
CFR 240.24b-2, confidential information has been omitted in places
marked “[* * *]” and has been filed separately with the
Securities and Exchange Commission pursuant to a Confidential
Treatment Application filed with the Commission.
Amended and Restated Common Short
Code License Agreement
9.4.1. Description
of the work to be performed by Registry, with reference to the
requirements for the Additional Services or Enhancements, if
any;
9.4.2.
Identification of ownership in the related Documentation or other
materials.
9.4.3. Delivery
schedule for performance and completion of the work and initiation
of the Additional Services, including milestones and delivery
dates, where appropriate;
9.4.4. Completion
and acceptance criteria (including testing procedures and quality
standards);
9.4.5. Designation
of the names of the key personnel of Registry;
9.4.6. Any changes
to the fees to be charged to CSC Service Users, and the schedule of
effective date(s) for said changes in the fee structure;
and
9.4.7.
Identification of any impact on Service Levels, including proposed
revisions thereto.
Upon receipt of
Registry’s proposal under this Article 9, CTIA will
review the proposed amendment and may request changes and
modifications. Registry will then prepare a final amendment
containing the provisions agreed upon by both Parties. Upon
CTIA’s acceptance of the final amendment submitted by
Registry, the amendment shall be executed by both Parties. All
terms and conditions of this Agreement shall remain in effect
except to the extent specifically changed by such an amendment.
Once an amendment to this Agreement prepared pursuant to this
Article 9 has been executed by each Party, the terms and
conditions of that amendment shall supersede any prior terms and
conditions of this Agreement (including the terms and conditions of
any prior amendment to this Agreement) that are inconsistent with
the terms and conditions of that amendment. If a proposed amendment
is never finalized between the Parties, the requested or proposed
Additional Services (including, without limitation, any
Enhancement) will not become a part of the Registry
Services.
33
Pursuant to 17
CFR 240.24b-2, confidential information has been omitted in places
marked “[* * *]” and has been filed separately with the
Securities and Exchange Commission pursuant to a Confidential
Treatment Application filed with the Commission.
Amended and Restated Common Short
Code License Agreement
10. INDEPENDENT
CONTRACTOR .
Each Party
acknowledges that the relationship between CTIA and Registry is
that of an independent contractor. This Agreement creates no
agency, partnership, joint venture or employment relationship
between the Parties. Personnel utilized by Registry in the
performance of Registry Services (hereinafter “
Registry’s Employee(s) ”) shall at all
times remain under Registry’s exclusive control and direction
and shall be employees of Registry and not employees of CTIA or of
any partnership or joint venture between CTIA and Registry.
Registry further acknowledges that it is not considered an
affiliate or subsidiary of CTIA, and is not entitled to any
employee rights or benefits of CTIA. CTIA also acknowledges that it
is not considered an affiliate or subsidiary of Registry and is not
entitled to any employee rights or benefits of Registry. Neither
Party shall have any power or authority to act for or on behalf,
bind or commit the other. Nothing in this Agreement shall be deemed
to render CTIA liable for any of the debts or obligations of
Registry that Registry may have to any Third Party nor shall be
deemed to render Registry liable for any of the debts or
obligations of CTIA that CTIA may have to any Third
Party.
11.1
Definition of Confidential Information . In carrying out the
intentions and obligations of this Agreement, Registry may come
into possession of proprietary and confidential information of CTIA
and CTIA may come into possession of proprietary and confidential
information of Registry. For purposes of this Agreement,
proprietary and confidential information, includes, without
limitations, software, proprietary aspects of the functional
requirements and the systems interface, pricing and financial
information and customer records of either Party or of any CSC
Service Users or Visitors, know-how, procedures, membership data,
marketing information, methods of operation, business plans and
procedures, marketing and advertising plans, and computer programs
and source codes, collectively referred to as “
Confidential Information .” The Disclosing
Party shall have the right to correct any inadvertent failure to
designate information as “confidential” and/or
“proprietary” by written notification to the Receiving
Party. The Receiving Party shall, from that time forward, treat
such information as Confidential Information under this
Agreement.
34
Pursuant to 17
CFR 240.24b-2, confidential information has been omitted in places
marked “[* * *]” and has been filed separately with the
Securities and Exchange Commission pursuant to a Confidential
Treatment Application filed with the Commission.
Amended and Restated Common Short
Code License Agreement
11.1.1
Exclusions . The Confidential Information does not include
any information that: (i) was known to the Receiving Party
prior to its disclosure hereunder by the Disclosing Party;
(ii) is independently developed by the Receiving Party without
use of the Confidential Information of the Disclosing Party;
(iii) is or becomes publicly known through no wrongful act of
the Receiving Party; (iv) has been rightfully received from a
Third Party authorized to make such disclosure without restriction;
(v) has been approved for public release by the Disclosing
Party’s prior written authorization; or (vi) must be
produced or disclosed pursuant to applicable law, regulation or
court order, provided that the Receiving Party provides prompt
notice thereof to enable the Disclosing Party to seek a protective
order or otherwise prevent such disclosure.
11.1.2.
Obligations . The Receiving Party agrees not to disclose
Confidential Information of the Disclosing Party to any Third Party
without the Disclosing Party’s express written permission.
The Receiving Party may disclose Confidential Information of the
Disclosing Party only to those employees, contractors,
representatives and agents who have a need to know such
Confidential Information. The Receiving Party shall hold
Confidential Information in strict confidence, and use at least the
same degree of care as it uses to safeguard its own most
confidential and proprietary information so as to insure that no
unauthorized person has access to it. The Receiving Party may use
Confidential Information of the Disclosing Party only for purposes
of fulfilling its obligations under the Agreement or as permitted
under the Agreement. All Confidential Information shall remain the
sole property of the Disclosing Party. The Receiving Party shall
not use or commercially exploit the Disclosing Party’s
Confidential Information, or any portions thereof, except for
fulfilling the obligations under the Agreement.
11.2.
Return or Destruction of Confidential Information. Upon the
request of the Disclosing Party, which may be made at any time, the
Receiving Party shall return (with respect to CSC Data, in the form
and on the media then in use) to the Disclosing Party, or, at the
option of the Disclosing Party, shall destroy or permanently erase,
the Confidential Information provided by the Disclosing Party and
all copies thereof (in written, electronic or other form), and
shall destroy or permanently erase any information and materials
developed by it based on the Disclosing Party’s Confidential
Information.
35
Pursuant to 17
CFR 240.24b-2, confidential information has been omitted in places
marked “[* * *]” and has been filed separately with the
Securities and Exchange Commission pursuant to a Confidential
Treatment Application filed with the Commission.
Amended and Restated Common Short
Code License Agreement
Notwithstanding
anything to the contrary above, Registry shall not return or
destroy CSC Data or Confidential Information that is necessary for
it to provide Registry Services during the Term of the License.
Upon the request of the Disclosing Party, the Receiving Party shall
certify that the destruction or permanent erasure of Confidential
Information provided for herein has occurred.
11.3.
Injunctive Relief . Each party acknowledges that the
unauthorized disclosure or use of Confidential Information may
cause irreparable harm and significant injury, the amount of which
may be extremely difficult to estimate. If the Receiving Party
fails to abide by its obligations under this Article, the
Disclosing Party may be entitled to seek immediate injunctive
relief, in addition to any other rights and remedies available to
it at law or in equity.
11.4.
Loss of Confidential Information . In the event of any
unauthorized disclosure or loss of, or inability to account for,
Confidential Information of the Disclosing Party, the Receiving
Party will notify the Disclosing Party immediately.
11.5.
Third Party Access to Confidential Information. CTIA
acknowledges that any Third Party having a need to obtain access to
Confidential Information of Registry as a result of such Third
Party’s actions as a sub-contractor or vendor of CTIA, or
otherwise through its relationship with CTIA shall, as a condition
to such access, be required to execute a confidentiality agreement,
which confidentiality agreement shall include, at a minimum, the
substantive restrictions set forth in this Article 11.
Registry acknowledges that any Third Party having a need to obtain
access to Confidential Information of CTIA as a result of such
Third Party’s actions as a sub-contractor or vendor of
Registry, or otherwise through its relationship with Registry
shall, as a condition to such access, be required to execute a
confidentiality agreement, which confidentiality agreement shall
include, at a minimum, the substantive restrictions set forth in
this Article 11.
12. MUTUAL
INDEMNIFICATION .
12.1. Each
Party shall indemnify, defend, and hold harmless the other Party
(“ Indemnitee ”), including its
directors, officers, employees, agents and affiliates from and
against any losses, damages, settlement, recovery, judgment,
expenses and costs (including reasonable attorneys’ fees), or
liabilities as a result of (a) any claims or demands against
the Indemnitee by a Third Party for injury to and death of persons,
and damage to and loss of property that are caused by, or arise
from the
36
Pursuant to 17
CFR 240.24b-2, confidential information has been omitted in places
marked “[* * *]” and has been filed separately with the
Securities and Exchange Commission pursuant to a Confidential
Treatment Application filed with the Commission.
Amended and Restated Common Short
Code License Agreement
Indemnifying
Party’s (“ Indemnitor ”)
performance and obligations under the Agreement; b) any claims
or demands against Indemnitee by a Third Party that products or
services furnished by Indemnitor within the scope of the Agreement
actually or allegedly violates, infringes or misappropriates any
patent, copyright, trademark, trade secret or other proprietary
rights of the Third Party; provided that Registry shall not
indemnify CTIA for any claim based on its provision of Registry
Services as set forth in the Assignment Guidelines unless the claim
is based on Registry’s negligence or intentional misconduct
in its provision of Registry Services; likewise, CTIA shall not
indemnify Registry for any claim based on Registry’s
provision of Registry Services as set forth in the Assignment
Guidelines unless the claim is based on CTIA’s negligence or
intentional misconduct in its performance of its obligations under
this Agreement; c) any claims or demands against Indemnitee by
a Third Party to the extent arising from the negligence or
intentional misconduct of Indemnitor acting or failing to act
within the scope of this Agreement; or (d) any claims or
demands against the Indemnitee by a Third Party arising from an
actual breach of any of the Indemnitor’s obligations,
representations, or warranties contained herein. In the event that
a Third Party brings a claim or demand against Registry and such
claim or demand arises from a Carrier’s refusal or
intentional failure to abide by the Assignment Guidelines, CTIA
shall indemnify Registry for any direct damages as a result of
Carrier’s misconduct with respect to the Assignment
Guidelines, provided that Carriers indemnify CTIA for such Third
Party claims against Registry. CTIA shall use reasonable and good
faith efforts in its attempt to reach an agreement with Carriers
concerning indemnification of CTIA for Third Party claims against
Registry.
12.2. In
claiming any indemnification under this Agreement, the Party
claiming indemnification (the “ Claimant
”) shall provide the other Party with written notice of any
claim, which the Claimant believes falls within the scope of this
Agreement. The Claimant may, at its own expense, assist in the
defense if it so chooses, provided that the other Party shall
control such defense and all negotiations relative to the
settlement of any such claim and further provided that any
settlement intended to bind the Claimant shall not be final without
the Claimant’s written consent.
12.3.
Permission & Releases . Both Parties shall obtain
permission and releases necessary for the other Party and CSC
Service Users to use any Third Party’s copyrighted material,
trademark, patent or other intellectual property right
37
Pursuant to 17
CFR 240.24b-2, confidential information has been omitted in places
marked “[* * *]” and has been filed separately with the
Securities and Exchange Commission pursuant to a Confidential
Treatment Application filed with the Commission.
Amended and Restated Common Short
Code License Agreement
in the
performance of the Agreement. In the event that either Party uses
such copyrighted material, trademark or patent without the
owner’s permission, the other Party shall secure, at its own
expense, the right for such Party and CSC Service Users, whichever
applicable, to use such copyrighted material, trademark or
patent.
12.4.
Intellectual Property, Antitrust or Claims against either Party
for Carrier Activity. In the event that there are any claims or
demands against either CTIA or Registry by a Third Party that
(a) the CSC Registry Rights or the Assignment Guidelines
actually or allegedly violate, infringe or misappropriate any
patent or other proprietary rights of the Third Party; (b) the
CSC Registry Rights, other aspects of the CSC program, or the
Assignment Guidelines actually or allegedly violate any antitrust
laws or regulations; or (c) one or more Carriers have not
performed consistent with the Assignment Guidelines (collectively,
“ Emergency Claims ”), then either Party
shall have the right to commence the following escalation
process:
12.4.1. With five
(5) Business Days written notice to the other Party, either
Party may call a special emergency meeting with the other Party and
the Carriers to discuss the Emergency Claims. The Parties shall use
commercially reasonable efforts to agree on a mutually beneficial
resolution to the Emergency Claims.
12.4.2. In the
event that the Parties with the Carriers are unable to agree to a
mutually beneficial resolution to the Emergency Claims, and either
Party reasonably believes that one or more of the Emergency Claims
could result in substantial cost or damages to that Party, then
either Party may call for a temporary suspension of the Registry
Services pending either a (i) mutually beneficial resolution
to the Emergency Claims; (ii) final resolution of the
Emergency Claim(s) by a court or other entity with competent
jurisdiction; or (iii) the occurrence of a Regulatory Event as
set forth in Article 18. In the event that a Regulatory Event
is involved, then the processes and procedures set forth in
Article 18 of the Agreement shall control.
12.4.3. In the
event that such temporary suspension lasts for a period of
forty-five (45) days or longer, then this Agreement may be
terminated by either Party.
38
Pursuant to 17
CFR 240.24b-2, confidential information has been omitted in places
marked “[* * *]” and has been filed separately with the
Securities and Exchange Commission pursuant to a Confidential
Treatment Application filed with the Commission.
Amended and Restated Common Short
Code License Agreement
If CTIA
terminates such Agreement pursuant to this Section 12.4.3,
then Registry shall not be required to provide any of the
Transition Services set forth in Article 17 but shall be
obligated to take the steps listed in Section 17.1 including
returning the CSC Data to CTIA along with the html source code to
the CSCA Website. In addition, if CTIA elects to terminate this
Agreement under this Section 12.4.3, CTIA shall indemnify,
defend and hold harmless, Registry for any and all claims or
demands relating to the provision of Registry Services by itself,
or any Third Party, after the effective date of termination. If
Registry terminates such Agreement pursuant to this
Section 12.4.3, the Registry shall provide the Transition
Services set forth in Article 17 and is obligated to take the
steps listed in Section 17.1, including returning the CSC Data
to CTIA along with the html source code to the CSCA Website. In
addition, if Registry elects to terminate this Agreement under this
Section 12.4.3, CTIA has no obligation to indemnify, defend
and hold harmless, Registry for any and all claims or demands
relating to the provision of Registry Services by itself, or any
Third Party, after the effective date of termination.
12.5.
Registry’s Obligations If Provision of Registry Services
Is Threatened for Other Reasons. If provision of Registry
Services by Registry shall be prevented or appears likely to be
prevented by an injunction or court order, or by settlement
resulting from any claim under Section 12.1 (b), that is not
governed by the preceding Section 12.4, Registry shall, at its
own discretion and expense, either: (a) by license or release
from claim of violation, infringement or misappropriation, procure
for CTIA and CSC Service Users the right to continue using the
Registry Software; or (b) modify the Registry Services so it
is functionally equivalent to the original Registry Services, but
is no longer subject to a claim of violation, infringement or
misappropriation; or (c) remove any infringing materials and
replace same with equally suitable materials free from claim of
infringement or misappropriation.
13. LIABILITY;
LIMITATION OF LIABILITY .
13.1. EXCEPT
FOR A BREACH BY EITHER PARTY IN CONNECTION WITH ITS INDEMNIFICATION
OBLIGATIONS SET FORTH IN THIS AGREEMENT, IN NO EVENT SHALL EITHER
PARTY BE LIABLE TO THE OTHER FOR ANY INCIDENTAL, SPECIAL, PUNITIVE,
OR CONSEQUENTIAL DAMAGES OF ANY KIND (INCLUDING WITHOUT
39
Pursuant to 17
CFR 240.24b-2, confidential information has been omitted in places
marked “[* * *]” and has been filed separately with the
Securities and Exchange Commission pursuant to a Confidential
Treatment Application filed with the Commission.
Amended and Restated Common Short
Code License Agreement
LIMITATION,
LOSS OF INCOME, LOSS OF PROFITS OR OTHER PECUNIARY LOSS); OR FOR
ANY LOSSES OR EXPENSES RESULTING FROM ANY CAUSES OF ACTION OF ANY
KIND WITH RESPECT TO THE AGREEMENT OR ANY AMENDMENT THERETO,
WHETHER BASED ON BREACH OF CONTRACT, TORT (INCLUDING NEGLIGENCE AND
INTENTIONAL MISCONDUCT) OR OTHERWISE. IN NO EVENT SHALL REGISTRY BE
LIABLE TO CTIA FOR ANY LOSSES OR EXPENSES RESULTING FROM ANY
INACCURACY IN OR OMISSION FROM ANY INFORMATION OR DATA SUPPLIED BY
CTIA OR ANY CSC SERVICE USER TO REGISTRY IN CONNECTION WITH THE
REGISTRY SERVICES PERFORMED BY REGISTRY. THE LIABILITY OF EITHER
PARTY TO THE OTHER SHALL NOT EXCEED THE TOTAL AMOUNT OF THE CSCA
ROYALTIES PAID BY REGISTRY FOR THE LICENSE OF THE LICENSED
MATERIALS GRANTED BY THIS AGREEMENT.
13.2.
Direct Damages. EACH PARTY SHALL BE LIABLE TO THE OTHER
PARTY FOR ANY DIRECT DAMAGES ARISING OUT OF OR RELATING TO A BREACH
OF ITS OBLIGATIONS UNDER THIS AGREEMENT AND AWARDED BY A COURT OR
AN ARBITRATOR IN ACCORDANCE WITH THE DISPUTE RESOLUTION PROVISIONS
UNDER THIS AGREEMENT.
14.1.
Authority. Each Party represents to the other that it has
full authority to enter into and perform all of its obligations
under this Agreement, and that the person signing this Agreement on
behalf of the Party has been properly authorized to enter into this
Agreement. Each Party further acknowledges that it has read this
Agreement, understands it, and agrees to be bound by all of its
terms, conditions, and provisions.
14.2.
Ownership Interest in the CSC Registry Rights . CTIA
represents and warrants that, in its capacity as the Common Short
Code Administrator, it has the power and authority to license the
use of the CSC Registry Rights to Registry to provide the Registry
Services as described in this Agreement.
40
Pursuant to 17
CFR 240.24b-2, confidential information has been omitted in places
marked “[* * *]” and has been filed separately with the
Securities and Exchange Commission pursuant to a Confidential
Treatment Application filed with the Commission.
Amended and Restated Common Short
Code License Agreement
14.3.
Experience. Registry represents and warrants to CTIA that:
a) it has the experience and ability to perform the Registry
Services; and b) it will perform the Registry Services in a
professional, competent and timely manner.
14.4.
Open Participation . CTIA represents and warrants to
Registry that all telecommunications service providers that are
otherwise qualified to provide CSCs, will be eligible to
participate in the CSC program.
14.5. Card
Processing. With respect to the processing of Cards (as defined
below) under this Agreement:
a. Registry
represents and warrants that it shall comply with all applicable
laws of the United States; and
b. Registry
agrees to comply with all applicable Card Association rules,
including, without limitation, the Visa Cardholder Information
Security Program, the MasterCard Site Data Protection Program, and
the Payment Card Industry Data Security Standard.
For the purposes
of this Agreement: (i) “ Card Association
” shall mean Visa, MasterCard, or any other card associations
or the issuer of any other Card of any association or network and
(ii) “ Card ” shall mean any valid credit
card or debit card issued by a member of Visa, MasterCard, or any
other association or card issuing organization and bearing its
respective trade names, trademarks, and/or trade
symbols.
14.5.
Disclaimer of Warranties. EXCEPT AS OTHERWISE PROVIDED IN
THIS AGREEMENT, NEITHER PARTY MAKES ANY WARRANTY, EXPRESS OR
IMPLIED, WITH RESPECT TO THE SERVICES RENDERED BY ITSELF, ITS
SERVANTS, OR ITS AGENTS OR THE RESULTS OBTAINED FROM THEIR WORK,
INCLUDING, WITHOUT LIMITATION, ANY IMPLIED WARRANTY OF
MERCHANTABILITY, NONINFRINGEMENT, OR FITNESS FOR A PARTICULAR
PURPOSE.
This Agreement is
personal to the Parties hereto. Their respective rights and
interests hereunder are non-assignable and non-transferable without
the prior
41
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CFR 240.24b-2, confidential information has been omitted in places
marked “[* * *]” and has been filed separately with the
Securities and Exchange Commission pursuant to a Confidential
Treatment Application filed with the Commission.
Amended and Restated Common Short
Code License Agreement
written consent
of the other Party, which consent shall not be unreasonably
withheld or delayed. Any attempted assignment or transfer of such
rights and interests without such consent in violation of the
provisions of this Agreement, by operation of law or otherwise,
shall be void; provided, however, that either Party may assign and
transfer this Agreement without prior consent to a parent,
subsidiary, affiliate or successor of interest that acquires
substantially all of its assets.
16.1. Either
Party may terminate this Agreement, and such termination shall be
effective immediately, in the event that the other Party:
1) breaches any material term of this Agreement and the breach
is not cured within fifteen (15) Business Days (or within a
reasonable period of time as mutually agreed upon by the Parties,
such agreement to not be unreasonably withheld) after receipt of
written notice from the non-breaching party; 2) makes a
general assignment for the benefit of creditors; 3) files a
voluntary petition in bankruptcy or for reorganization or
arrangement under the bankruptcy laws; 4) if a petition in
bankruptcy is filed against either Party or if a receiver or
trustee is appointed for all or any part of the property or assets
of either Party; 5) under the circumstances related to a
regulatory event as set forth in Article 18 of this Agreement;
6) Registry chronically fails to provide the Registry
Services, as defined in Section 16.2 of this Agreement
7) Registry is merged with or acquired by an entity which is
unable to comply with the Code of Conduct; or 8) Registry
otherwise ceases to be able to comply with the Code of Conduct, and
such cessation continues for a period of thirty (30) days
following the date that Registry first becomes aware of the event
causing the cessation of neutrality.
16.2.
Chronic Failure. CTIA may terminate this Agreement if
Registry frequently fails to provide the Registry Services at one
or more of the Service Levels, and such failure is evidenced by
recurring events of the same or similar nature that are indicative
of a systemic problem(s), and such problem(s) has been unaffected
by Registry’s repeated efforts to cure or is reasonably
unlikely to be cured as a result of Registry’s reasonably
diligent efforts over a reasonable period, which in any event shall
be no less than thirty (30) days.
42
Pursuant to 17
CFR 240.24b-2, confidential information has been omitted in places
marked “[* * *]” and has been filed separately with the
Securities and Exchange Commission pursuant to a Confidential
Treatment Application filed with the Commission.
Amended and Restated Common Short
Code License Agreement
17. TRANSITION AT
EXPIRATION OR TERMINATION OF THIS AGREEMENT .
17.1.
Rights and Obligations Upon Termination. Upon final
termination of this Agreement (hereafter “ Termination
Event ”) and subject to the following sections of
this Article 17 allowing for an orderly transition,
(i) all rights of Registry with respect to the Licensed
Materials shall cease and revert to CTIA, (ii) Registry shall
have no further right to promote or provide the Registry Services,
and (iii) Registry shall cease using the CSC Registry Rights
and other Licensed Materials. Also subject to the following
sections of this Article 17, (a) within seven days of a
Termination Event (or the last day of any extension described in
Section 17.3 below), Registry shall return to CTIA (without
retaining copies) all Documentation relating to the CSC Registry
Rights, including all copies, in whatever form, of CSC Data or CSC
Enhancements or, at CTIA’s request, destroy all copies of
those materials and shall return the html source code to the CSCA
Website; (b) within thirty days after a Termination Event (or
the last day of any extension described in Section 17.3
below), Registry shall pay to CTIA all undisputed CSC Royalties
that have accrued through the effective date of the termination and
are actually collected, and (c) immediately after a Termination
Event, Registry shall assign its rights and obligations in the
Registry Sublicense Agreements then in effect with Registrants to
CTIA or its designee. Registry will assist CTIA in the orderly and
timely transition of the www.usshortcodes.com domain name to
CTIA or its designated agent.
17.2.
Registry’s Obligation to Assist with Transition. Upon
a Termination Event and in the event that CTIA informs Registry of
its intent to license the CSC Registry Rights to a successor
provider of Registry Services (the “ Successor
Registry ”), Registry shall assist CTIA in the
orderly and timely transition of the Registry Services specified
herein from Registry to the Successor Registry, consistent with the
requirements of this Article.
17.3.
Optional Extension upon Termination. Upon the occurrence of
a Termination Event, and CTIA’s request, Registry shall agree
to extend this Agreement with CTIA for a period which shall not
extend beyond the earlier of either (i) the effective date of
a license agreement between CTIA and the Successor Registry under
which a license to use the CSC Registry Rights to provide Registry
Services is granted to the Successor Registry; or (ii) the
date that is six (6) months after the Termination
Event.
43
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CFR 240.24b-2, confidential information has been omitted in places
marked “[* * *]” and has been filed separately with the
Securities and Exchange Commission pursuant to a Confidential
Treatment Application filed with the Commission.
Amended and Restated Common Short
Code License Agreement
During any such
extension, Registry shall continue to provide Registry Services to
CSC Service Users in accordance with the Service Levels and Fee
Schedule in effect on the date of notice of termination and shall
continue to pay CSC Royalties to CTIA in accordance with the CSC
Royalties Schedule in effect on the date of notice of termination,
unless the Parties mutually agree, pursuant to good faith
negotiations, to the application of a revised Fee Schedule or CSC
Royalties Schedule during that time period. Upon any such
extension, Registry shall provide any Transition Services (as
defined below) requested by CTIA; provided that (i) Registry
shall be paid for any additional services at the blended rates
listed in Exhibit A , and (ii) Registry shall have
no obligation to perform any such Transition Services after the
extension period has concluded. Registry’s obligation to
perform Services during any extension period is subject to CTIA
using diligent efforts to transition to a Successor Registry, which
shall commence no later than upon notice of termination of this
Agreement.
17.4.
Transition Services. Upon the occurrence of a Termination
Event, CTIA may request Registry to perform certain services and
assist with the transition to a Successor Registry. Such request
for Transition Services shall be submitted to Registry in writing
on or immediately prior to the expiration or termination date. CTIA
shall pay Registry for the performance of such Transition Services
in accordance with Paragraph 17.3 of this Agreement. Registry
shall cooperate with CTIA in effecting the orderly and timely
transition of the Registry Services to a Successor Registry and
agrees to perform the following services (collectively, the “
Transition Services ”).
17.4.1. Provide
CTIA with a list or summary, as applicable, of all documentation of
operational and procedural practices required for the orderly
transition to a Successor Registry for the Registry
Services;
17.4.2. Provide
CTIA with assistance in transferring the CSCA Website, content on
the CSCA Website, and CSC Data, including the underlying html code
for the look and feel of the CSCA Website.;
17.4.3. Provide
assistance in transitioning the help desk functions specified in
Article 8;
44
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CFR 240.24b-2, confidential information has been omitted in places
marked “[* * *]” and has been filed separately with the
Securities and Exchange Commission pursuant to a Confidential
Treatment Application filed with the Commission.
Amended and Restated Common Short
Code License Agreement
17.4.4.
Provide joint project planning to ensure an orderly and timely
transition of the Registry Services to a Successor
Registry;
17.4.5. Consistent
with Registry’s contractual obligations to Third Parties
regarding nondisclosure, provide CTIA and/or its designees all CSC
information that is reasonably necessary to enable a licensee of
CTIA to provide the Registry Services; and
17.4.6. Take any
actions necessary to effectuate the assignment of the Registry
Sublicense Agreements.
18. REGULATORY AND LEGISLATIVE
CONSIDERATIONS.
18.1.
Some CSC Users are Communications Common Carriers .
The Parties expressly recognize that the CSC Service Users and the
Carriers are or may be subject to certain federal and state laws
and regulations promulgated thereunder, as well as rules,
regulations, orders, opinions, decisions and possible approval of
the FCC and other regulatory bodies having jurisdiction or
delegated authority over CSC Service Users and the CSC Service. The
Parties also recognize that this Agreement is subject to changes
and modifications required as a result of any of the foregoing;
provided, however, that the Parties hereby agree that this
Agreement and the Registrant Sublicense Agreements shall remain in
full force and effect in accordance with their respective terms and
each of the Parties shall continue to perform all of its respective
obligations under this Agreement, and Registry and each of the CSC
Service Users shall continue to perform all of their respective
obligations under the CSC Registrant Agreements, in accordance with
the respective terms thereof until the Parties can agree upon any
amendment that may be required to this Agreement as a result of any
such regulatory change.
18.2.
Failure to Agree Upon Amendment . If the Parties are unable
to agree upon any required amendment, the Parties agree to resolve
such dispute pursuant to an “expedited” arbitration
proceeding.
18.3.
Termination as Result of Amendment . Notwithstanding
anything to the contrary above, either Party may terminate this
Agreement if the required
45
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CFR 240.24b-2, confidential information has been omitted in places
marked “[* * *]” and has been filed separately with the
Securities and Exchange Commission pursuant to a Confidential
Treatment Application filed with the Commission.
Amended and Restated Common Short
Code License Agreement
amendment is
technically or economically unfeasible or if the regulatory change
requires either Party to terminate this Agreement, except that each
Party agrees it will give the other at least thirty (30) days
advance written notice of its intent to terminate this Agreement on
such basis. If, within ten (10) days of receipt of such
notice, the Non-terminating Party delivers its written objection to
the Terminating Party disputing the basis upon which Terminating
Party is exercising its termination right under this provision, the
Parties shall resolve the dispute in an Expedited Arbitration
proceeding, with the focus of such proceeding being whether the
required amendment is technically or economically unfeasible or
whether the regulatory change requires the Terminating Party to
terminate this Agreement, as applicable. CTIA shall cooperate fully
with Registry to obtain any necessary regulatory approvals of the
Registry Services or in other regulatory proceedings regarding the
Registry Services.
18.4.
Changes in Law and Regulations. CTIA shall notify Registry
of any relevant changes in applicable legislative enactment and
regulations of which CTIA becomes aware in the ordinary course of
its business. Any necessary modifications to the Registry Services
as a result of such changes shall be made in accordance with the
provisions of Article 9 [Changes to Services], and subject to
the provisions of Section 18.1.
19. INTERNAL DISPUTE RESOLUTION
AND ARBITRATION.
19.1.
Internal Dispute Resolution. Except in circumstances where
the time required for application of this dispute resolution
procedure would cause irreparable harm , any claim,
controversy or dispute arising out of or relating to this
Agreement, which cannot otherwise be resolved after good faith
negotiations by the Parties, shall be resolved as
follows:
19.1.1. The
dispute shall initially be referred jointly to Steve Johnson,
Senior Vice President, or his successor and Rob Mesirow, Vice
President, Operations or his successor. These Senior
Representatives of the Parties shall attempt to resolve the dispute
within seven (7) calendar days of either Party submitting the
dispute to the Senior Representatives.
19.1.2. If the
Senior Representatives are unable to resolve the dispute within
such time period, the dispute shall be submitted in writing to the
chief
46
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CFR 240.24b-2, confidential information has been omitted in places
marked “[* * *]” and has been filed separately with the
Securities and Exchange Commission pursuant to a Confidential
Treatment Application filed with the Commission.
Amended and Restated Common Short
Code License Agreement
executive
officer respectively of CTIA and Registry. The chief executive
officers shall attempt to resolve the dispute within fourteen
(14) calendar days of such submission.
19.1.3. If the
matter has not been resolved under the above procedure within
twenty-one (21) calendar days of the commencement of such
procedure, any Party wishing to pursue the matter may resort to
binding arbitration as provided in the
Section 19.2.
19.1.4. The above
calendar day periods may be extended by mutual written agreement of
the Parties.
19.2.
Arbitration. Any dispute arising out of or related to this
Agreement, which cannot be resolved by negotiation, shall be
settled by binding arbitration in the Commonwealth of Virginia
before a single arbitrator. The arbitration shall be conducted
pursuant to the American Arbitration Association’s
(“AAA”) Commercial Arbitration Rules. Judgment on the
award rendered by the arbitrator may be entered in any court having
jurisdiction. The parties shall first attempt to identify a
mutually acceptable arbitrator. However, if the parties are unable
to identify a mutually acceptable arbitrator within twenty
(20) days after service of the demand for arbitration upon all
of the Parties to the dispute, then either Party may request that
the arbitrator be appointed by the president of the Association of
the Bar of the Commonwealth of Virginia. The arbitrator’s
fees shall be deposited equally by the parties, but may be awarded
by the arbitrator as provided in the Commercial Arbitration rules.
However, under no circumstances shall any Party to this agreement
be responsible for the payment of any administrative fees to the
AAA in connection with this arbitration agreement
.
20.1.
Successors and Assigns . This Agreement and any amendments
thereto shall be binding upon the Parties’ respective
successors and assigns.
20.2.
Attorneys’ Fees. The Party substantially prevailing in
any legal action between the Parties concerning this Agreement
shall receive reimbursement of its reasonable attorneys’ fees
and court costs incurred from the other Party.
47
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CFR 240.24b-2, confidential information has been omitted in places
marked “[* * *]” and has been filed separately with the
Securities and Exchange Commission pursuant to a Confidential
Treatment Application filed with the Commission.
Amended and Restated Common Short
Code License Agreement
20.3.
Advertising or Publicity. Except as set forth in this
Agreement, neither Party shall identify, either expressly or by
implication, the other Party or its corporate affiliates or use any
of their names, trademarks, trade names, service marks, or other
proprietary marks in any advertising, sales presentations, news
releases, releases to any professional or trade publication,
advertising or other promotional materials without such other
Party’s prior written consent, which shall not be
unreasonably withheld or delayed.
20.4.
Non-Waiver. No course of dealing or failure of either Party
to enforce strictly any term, right, obligation or provision of
this Agreement, including any amendments thereto, or to exercise
any option provided hereunder or thereunder shall be construed as a
waiver of such provision.
20.5.
Notices . All notices or other communications required or
permitted to be given under this Agreement shall be in writing
(unless otherwise specifically provided herein) and delivered or
addressed as follows:
CTIA
1400 16 th
Street, NW
Suite 600
Washington, DC 20036
Attn: Rob Mesirow
(p) (202) 785-0081
CTIA
1400 16 th
Street, NW
Suite 600
Washington, DC 20036
Attn: General Counsel
(p) (202) 785-0081
48
Pursuant to 17
CFR 240.24b-2, confidential information has been omitted in places
marked “[* * *]” and has been filed separately with the
Securities and Exchange Commission pursuant to a Confidential
Treatment Application filed with the Commission.
Amended and Restated Common Short
Code License Agreement
NeuStar, Inc.
46000 Center Oak Plaza
Building Ten
Sterling, VA 20166
Attn: Steve Johnson, Senior Vice President
p: (571) 434-5400
f: (571) 434-5401
NeuStar, Inc.
46000 Center Oak Plaza
Building Ten
Sterling, Va. 20166
Attn: General Counsel
p: (571) 434-5400
f: (571) 434-5735
All notices or
other communications shall be deemed effectively given:
(a) when delivered, if personally delivered, including
courier, facsimile or overnight delivery service, (except that
notices received after 3:00 p.m. local time will be deemed
received on the following Business Day); (b) on the date of
delivery (or, if refused, the refusal date shown on the return
receipt) if mailed certified or registered mail, return receipt
requested; or (c) four (4) days after mailing if mailed
first class.
20.6.
Governing Law. The construction, interpretation and
performance of this Agreement and all transactions under it shall
be governed by the laws of the Commonwealth of Virginia, excluding
its choice of law rules. Registry agrees to submit to the
jurisdiction of any court within the Commonwealth of Virginia
wherein an action is commenced against CTIA under this Agreement
.
20.7.
Severability. If any provision of this Agreement shall be
held invalid or unenforceable, such provision shall be deemed
deleted from the Agreement and replaced by a valid and enforceable
provision which reasonably achieves the Parties’ intent in
agreeing to the original provision. The remaining provisions of the
Agreement shall continue in full force and effect.
49
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CFR 240.24b-2, confidential information has been omitted in places
marked “[* * *]” and has been filed separately with the
Securities and Exchange Commission pursuant to a Confidential
Treatment Application filed with the Commission.
Amended and Restated Common Short
Code License Agreement
20.8.
Remedies. The rights and remedies provided herein shall be
cumulative and in addition to any other remedies available at law
or in equity.
20.9.
Survival. Except as otherwise set forth in this Agreement,
all obligations that by their nature survive the expiration or
termination of this Agreement, including, Sections 4 [CSC
Royalties], 6.10 [Data Escrow], 7 [Ownership], 11 [Confidential
Information], 12 [Indemnification], 13 [Limitation of Liability],
14 [Warranties], 17 [Transition], 19 [Dispute Resolution], 20.2
[Attorneys’ Fees], 20.4 [Non-Waiver], 20.5 [Notices], 20.6
[Governing Law], 20.7 [Severability], 20.8 [Remedies], 20.12 [No
Third-Party Beneficiaries], 20.13 [Interpretation of the
Agreement], and 20.16 [Entire Agreement].
20.10.
Insurance. During the term of the Agreement, both Parties,
at their sole cost and expense, shall secure and maintain insurance
coverage as is necessary, as a reasonable prudent businessperson,
to bear all of their obligations under this Agreement. Such
coverage shall include Commercial General Liability Insurance,
Errors and Omissions Insurance, and Media Insurance. Maintenance of
the foregoing insurance shall in no way be interpreted as relieving
either Party of any responsibility or obligation whatsoever and
both Parties may acquire, at its own expense, such additional
insurance, as such Party deems necessary. Both Parties assume full
and complete liability for all injuries to, or death of, any
person, or for any damages to property to the extent arising from
the negligent or willful acts or omissions of such
Party.
20.11.
Force Majeure . Either Party may suspend (or if such
suspension continues for more than 30 days, terminate) its
obligations under this Agreement if such obligations are delayed,
prevented, or rendered impractical or impossible due to
circumstances beyond its reasonable control, including, without
limitation, fires, floods, lightning, earthquakes, wars (declared
or undeclared), civil disturbances, accidents, terrorist acts
(including biochemical attacks), acts of any governmental body,
damage to its plants and equipment, network problems caused by any
Internet Service Provider or telecommunications company servicing
Registry [and/or CTIA], acts of God (collectively referred to
herein as “ Force Majeure ”), Each party
shall use its best efforts to minimize the duration and
consequences of any failure of or delay in performance resulting
from a Force Majeure event. In such event, the affected party shall
not be liable to the other for delay or failure to perform its
obligations under this Agreement.
50
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CFR 240.24b-2, confidential information has been omitted in places
marked “[* * *]” and has been filed separately with the
Securities and Exchange Commission pursuant to a Confidential
Treatment Application filed with the Commission.
Amended and Restated Common Short
Code License Agreement
20.12.
No Third-Party Beneficiaries . This Agreement shall not be
construed to create any obligation by either CTIA or Registry to
any non-party to this Agreement, including any CSC Service
User.
20.13.
Interpretation of the Agreement . This Agreement is the
joint work product of representatives of Registry and CTIA;
accordingly, in the event of ambiguities, no inferences will be
drawn against either Party, including the Party that drafted the
Agreement in its final form.
20.14.
Headings . The Article headings contained herein are for
purposes of convenience only and shall not be deemed to constitute
a part of this Agreement or to affect the meaning or interpretation
of this Agreement in any way.
20.15.
Counterparts. This Agreement may be executed simultaneously
in two (2) counterparts, each of which shall be deemed an
original, but both of which together shall constitute one
(1) and the same instrument.
20.16.
Entire Agreement . This Agreement constitutes the entire
agreement between Registry and CTIA relating to the subject matter
hereof and shall not be modified or rescinded in any manner except
by a written amendment executed by both Parties. Other than as
expressly provided herein, both Registry and CTIA agree that no
prior or contemporaneous oral representations form a part of
their Agreement. Estimates and forecasts furnished by CTIA shall
not constitute commitments. The provisions of this Agreement
supersede all contemporaneous oral agreements and all prior oral
and written quotations, communications, agreements and
understandings of the parties with respect to the subject matter of
this Agreement.
[THIS
SPACE IS LEFT INTENTIONALLY BLANK]
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marked “[* * *]” and has been filed separately with the
Securities and Exchange Commission pursuant to a Confidential
Treatment Application filed with the Commission.
Amended and Restated Common Short
Code License Agreement
IN WITNESS
WHEREOF, the parties hereto have caused this Agreement to be
executed in duplicate by their duly authorized
representatives.
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CTIA – The Wireless
Association ®
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NEUSTAR, INC.
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/s/ Steven M.
Largent
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By:
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/s/ Jeffrey E.
Ganek
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Steven M.
Largent
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[Name]
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Jeffrey E.
Ganek
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President/CEO
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[Title]
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Chairman and
Chief Executive Officer
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6/3/08
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Date:
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June 2,
2008
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52
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CFR 240.24b-2, confidential information has been omitted in places
marked “[* * *]” and has been filed separately with the
Securities and Exchange Commission pursuant to a Confidential
Treatment Application filed with the Commission.
Amended and Restated Common Short
Code License Agreement
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A.
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Change Order Fee Schedule
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B.
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Registrant Sublicense
Agreement
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C.
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1.
CSC Registry Fee Schedule
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2.
CSCA Royalties Calculation
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D.
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Assignment Guidelines
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E.
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Code of Conduct
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F.
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Service Levels
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G.
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Reports
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H.
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Description of 2007 Audit
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I.
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Description of the Processes for SAS
70 Type II and AUP Reports
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J.
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Branding and Website
Guidelines
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K.
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Advertising and Marketing Guidelines
and Specifications
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53
Pursuant to 17
CFR 240.24b-2, confidential information has been omitted in places
marked “[* * *]” and has been filed
separately with the Securities and Exchange Commission pursuant
to
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