Document:

Ex-10.15  Gold Disk Bundling Agreement

Exhibit 10.15

SCANSOFT —XEROX

GOLD DISK BUNDLING AGREEMENT

     This Agreement is between XEROX CORPORATION, with offices located at 200
Cross Keys Office Park, Fairport, NY 14450 (“Xerox”) and SCANSOFT, INC., with
offices located at 9 Centennial Drive, Peabody, MA 01960 (“ScanSoft”) as
agreed in writing to be bound by the terms and conditions hereof.

	1.0	 	DEFINITIONS
	 
	1.1	 	“Software” means the ScanSoft-brand software product(s) listed in
Attachment I hereto and those whose specifications are detailed in
Attachment IV hereto, together with Documentation (defined below) related
thereto.
	 
	1.2	 	“Xerox Affiliates” means Xerox Corporation, its Subsidiaries (defined
below) and Affiliates (defined below), and their respective Subsidiaries
and Affiliates.
	 
	1.3	 	“Subsidiaries” means any company as to which another company (i) owns or
controls directly or indirectly more than fifty percent (50%) (by nominal
number of units) of the outstanding stock or of the outstanding stock
conferring the right to vote at general meetings, or (ii) has the right to
elect the majority of the Board of Directors thereof or its equivalent, or
(iii) has the right directly or indirectly to appoint or remove the
management. “Affiliates” means any company or other business entity in
which at least twenty percent (20%) interest is owned or controlled
directly or indirectly by Xerox or by a Subsidiary of Xerox.
	 
	1.4	 	“Xerox Products” shall mean products described in Attachment II.
	 
	1.5	 	“Documentation” shall mean all written text including but not limited to
manuals, brochures, specifications and software descriptions and all sales
documentation and service documentation, and related materials customarily
needed for use with Software, including all Update Software. Such
documentation shall be made available in printed and camera ready forms if
such forms are or become available to ScanSoft.
	 
	1.6	 	“Upgrade” shall mean a software release by ScanSoft which both (i) is
designated by ScanSoft as a version change, for example TextBridge Pro 8.x
to TextBridge Pro 9.x or higher, from current versions as are referenced
in Attachment I hereto, or as such versions may be subsequently renamed to
a convention which does not utilize X.X nomenclature and (ii) contains
substantially new functionality compared to prior releases or is written
in a different programming language.
	 
	1.7	 	“Update” shall mean a software release by ScanSoft relating to Software
that is not an Upgrade.
	 
	2.0	 	ADDITIONAL RESPONSIBILITIES OF THE PARTIES
	 
	2.1	 	Gold Disk. ScanSoft agrees to license Software pursuant to the terms of
Section 6.0 below and to provide to Xerox a master copy of the Software,
including Documentation on disk (the “Gold Disk”). Pursuant to the terms
of Section 6.0 below, Xerox may elect, at its sole option, to distribute
and sublicense such Software for use with Xerox Products. Xerox shall not
distribute the Software other than for use with Xerox Products.
	 
	2.2	 	End User/ScanSoft Agreements. In the event that an end user requires
additional licenses, other than as described in Attachment I, the end user
shall seek such licenses directly from ScanSoft. Xerox need not be a
party to such additional licenses and shall have no liability or
responsibility therefor. Xerox shall have no liability if end users
exceed the configurations and seats they have purchased. ScanSoft shall
provide the server licenses as shown in Attachment I at no charge. If
Xerox desires to distribute additional configurations other than those
described in Attachment I, or additional licenses, the parties agree to
negotiate an amendment to this Agreement in good faith.

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	2.3	 	Marketing. The ScanSoft Software logo, provided to Xerox upon signing of
this Agreement in both electronic and camera ready form, may at Xerox’
option, be displayed in all advertising, product literature, and in a
conspicuous location on the Xerox packaging. ScanSoft will provide the
artwork for the logo.
	 
	 	 	Xerox shall provide ScanSoft, at no charge, one (1) unit each of the
launch configuration of Xerox Product software to be used solely for
support training, QA testing and promotional activities.
	 
	2.4	 	Cooperative Marketing. ScanSoft and Xerox will honor the other’s
reasonable requests for consultations and visits to each other’s
facilities and trade shows for purposes of cooperatively marketing each
party’s products
	 
	2.5	 	Relationship Manager. ScanSoft and Xerox shall each appoint a manager to
oversee the parties’ relationship relative to the Software. These
managers will be responsible for resolving issues that may from time to
time arise, will meet at least twice per calendar year, and will be
responsible for planning and developing a marketing program plan to
facilitate the promotion of both parties’ scan related solutions.
	 
	2.6	 	Delivery of Xerox Device. Xerox shall deliver one (1) Document Center
265ST multifunctional device at no cost to ScanSoft. ScanSoft agrees to
utilize the subject device for the sole purpose of developing and testing
the Software in furtherance of this Agreement. ScanSoft shall purchase, at
its own cost and expense, all supplies and related materials required for
the operation of this DC 265ST, and shall operate the same in accordance
with its specifications, and use supplies approved for such deliverable.
Title to the DC 265ST shall remain with Xerox at all times, but risk of
loss for the same shall be, while the DC 265ST is in the possession or
control of ScanSoft, on ScanSoft. ScanSoft shall return the DC 265ST to
Xerox upon termination or expiration of this Agreement in the same
condition as when delivered to ScanSoft, normal wear and tear excepted.
Xerox agrees to provide ongoing repair and maintenance, to be applicable
only for normal wear and tear activity, and to provide ongoing software
updates for subject device at no cost to ScanSoft as of the Effective date
of this Agreement through December 31, 1999. As of January 1, 2000,
ScanSoft agrees to purchase a full service maintenance agreement (FSMA)
from Xerox for the subject device and further agrees to ensure the FSMA is
active throughout the term of this Agreement.
	 
	3.0	 	ROYALTIES
	 
	3.1	 	The Software shall be licensed for the royalty fees as set forth in
Attachment I hereto. Xerox shall within 60 days following each calendar
quarter, submit to ScanSoft a statement showing the royalties owed for the
Software. Calculation of the royalties shall be based on installations of
revenue bearing units of Xerox Products as further described in Attachment
I. Payment of royalties due shall be made within the same 60- day period.
Xerox may copy the Software for Xerox’ and Xerox Affiliates’ internal
use, demonstration, and promotion purposes without paying a royalty.
	 
	4.0	 	SUPPORT AND DOCUMENTATION
	 
	4.1	 	ScanSoft will provide Second and Third Level Support for the Software to
Xerox for a period of three (3) years from the Effective Date of this
Agreement, as it may be reasonably requested by Xerox, to fulfill its
obligations to its resellers and end users. The details of technical
support responsibilities of ScanSoft and Xerox are listed in Attachment
III.
	 
	4.2	 	If a customer problem is determined to be caused solely by a defect in
media, Xerox shall issue a replacement media to a customer and Xerox
agrees to pay for all associated costs incurred by such replacement except
that no additional royalty is required.
	 
	4.3	 	Documentation and Sales Literature: ScanSoft shall furnish to Xerox, on
an ongoing basis during the term hereof, free of charge, fully translated
end user Documentation and such materials as Xerox may reasonably request
for use by Xerox to prepare Documentation, brochures and other product
literature, including, but not limited to, operators and maintenance
manuals, catalogs, specification sheets, and other data necessary or
appropriate for distribution by Xerox.
	 
	4.4	 	As more specifically set forth in Attachment III, Paragraph 9, ScanSoft
shall provide to Xerox, at no charge, one (1) technical training course
with respect to the servicing and support of Software at a location
designated by Xerox. The course 

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	 	 	will be provided in accordance with a
schedule acceptable to Xerox. ScanSoft shall provide Xerox one copy of
such training materials, which it may copy and distribute for purposes of
training other employees or authorized agents, resellers and
concessionaires of Xerox and Xerox Affiliates. ScanSoft shall support
Xerox with subject matter experts to facilitate Xerox’ conducting a
minimum of two (2) additional technical training courses.
	 
	4.5	 	Should Xerox opt to license customized or Upgraded Software from
ScanSoft, ScanSoft agrees to offer the training as described in 4.4 hereof
for such customized or Upgraded Software, at no cost to Xerox.
	 
	5.0	 	TITLE
	 
	 	 	Except as may specifically be provided herein or as mutually agreed in
writing, title and all rights of ownership to the Software, and all
copies of all or any part thereof, are and remain with ScanSoft at all
times. Xerox agrees not to remove ScanSoft’s copyright notice (using
the international copyright symbol) as provided by ScanSoft on the
Gold Disk.
	 
	6.0	 	LICENSE
	 
	6.1	 	License Grant. ScanSoft hereby grants to Xerox and Xerox Affiliates,
under ScanSoft’s applicable patents, copyrights and other intellectual
property rights, a nonexclusive, worldwide right and license to use,
market, maintain, reproduce (in any medium including firmware), distribute
(acting directly or indirectly through their authorized agents, resellers
and concessionaires), prepare, display, lease, and sub-license the
Software including Updates, and Documentation for use with Xerox Products.
ScanSoft grants to Xerox and Xerox Affiliates the royalty-free right and
license to reproduce, distribute (acting directly or indirectly through
their authorized agents, resellers and concessionaires) all or any part of
such Documentation and materials. ScanSoft further grants Xerox the right
to create and/or modify any or all parts of Documentation and such
materials, and Xerox shall own the copyright for any such modified or
created versions] of such Documentation and materials.
	 
	6.2	 	Each copy of the Software shall be distributed with (1) end user
documentation and (2) an end user license agreement.
	 
	6.3	 	ScanSoft shall ensure backward compatibly between the Software, including
all associated Updates and Upgrades, and the Xerox’ Products, as defined
in the specifications detailed in Attachment V, throughout the term of
this agreement. Xerox shall test such Software compatibility in its
standard end-user configuration. If the Software and Xerox’ Products are
not compatible, then Xerox may use the options stated in 7.3 as a remedy.
	 
	6.4	 	ScanSoft will provide Xerox written notification via e-mail or facsimile
of pending new Upgrades and Updates whether such Updates are called
releases, new versions, etc. Such notice will also include dates and
methods of availability and will be given sufficiently in advance of
publication in order for Xerox to react in a timely manner. Updates will
be provided free of charge to Xerox not later than contemporaneous with
ScanSoft’s making such Updates available to its other OEM licensees. Such
Updates will be licensed to XEROX under the terms of this Agreement
	 
	6.5	 	Licensing of Software Upgrades is not covered under this Agreement.
Xerox is under no obligation to purchase Software Upgrades. ScanSoft will
make Upgrades available to Xerox not later than such Upgrades are offered
by ScanSoft to ScanSoft’s OEM licensees. Any Upgrade shall be covered by
an addendum to this Agreement; provided, however, that ScanSoft agrees to
negotiate in good faith the terms and conditions of such an appropriate
agreement to provide Xerox with most-favored customer pricing, as compared
with customers purchasing similar quantities of similar products pursuant
to similar terms and conditions.
	 
	6.6	 	If there is Non Recurring Engineering (NRE) required to be performed by
ScanSoft to bring the software to the specifications required by Xerox,
such NRE tasks will be specifically itemized in Attachment IV hereto. NRE
tasks itemized in Attachment IV shall be performed at the cost and expense
of ScanSoft, and all work product resulting from such NRE shall belong to
ScanSoft and become part of the Software.
	 
	7.0	 	WARRANTY
	 
	7.1	 	ScanSoft warrants that the Gold Disk will be free from known viruses and
material program defects, and will perform in 

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	 	 	material conformity with the
specifications in Attachment IV for a period of ninety (90) days from the
date of delivery of the master Gold Disk.
	 
	7.2	 	If any material program errors with the Software are discovered by Xerox,
ScanSoft shall use reasonable efforts to correct such errors at no charge
to Xerox within the appropriate response times as specified in Attachment
III, following receipt of written notice from Xerox of such errors.
	 
	7.3	 	If the program errors of 7.2 cannot be eliminated by ScanSoft per the
response times specified in Attachment III, then as Xerox’ remedy and at
its option Xerox may:

	 	(i)	 	extend the correction period by an amount of time as
may be determined by Xerox; or
	 
	 	(ii)	 	approve the Software with an equitable reduction in
Royalties as agreed between the parties; or
	 
	 	(iii)	 	In the event the program error resides in the
software product identified as link agent, item 3 in
Attachment I, Xerox may elect to fix the program errors itself,
whereon ScanSoft shall turn over to Xerox the most recent
version of the source code, executable code and all related
Documentation for such software as necessary for Xerox to fix
the program errors. In the event ScanSoft fails to turn over
the source code within 3 business days, Xerox shall be entitled
to open and use the source code and documentation provided
pursuant to 16.2 below.

	7.4	 	EXCEPT FOR THE EXPRESS WARRANTIES SET FORTH HEREIN, SCANSOFT HEREBY
DISCLAIMS AND XEROX HEREBY EXPRESSLY WAIVES ANY AND ALL OTHER EXPRESS
WARRANTIES OR REPRESENTATIONS OF ANY KIND OR NATURE, AND ANY AND ALL
IMPLIED WARRANTIES, INCLUDING, BUT NOT LIMITED TO, ANY IMPLIED WARRANTY OF
MERCHANTABILITY OR FITNESS FOR A PARTICULAR PURPOSE.
	 
	8.0	 	TERMINATION
	 
	8.1 	 	This Agreement is effective upon the date of execution by ScanSoft and
Xerox (Effective Date). Subject to the termination provisions set forth
in this Agreement, the initial term shall commence on the Effective Date
and run for a Twenty-four (24) month period. This Agreement may be
renewed for successive one-year periods by mutual written consent of the
parties.
	 
	8.2	 	Either ScanSoft or Xerox may terminate this Agreement by written notice
of termination to the other party upon a material breach by the other
party which has not been cured within forty-five (45) days of written
notice of such breach. Confidential obligations pursuant to Section 13.0
below shall not be waived and shall survive termination.
	 
	8.3	 	Xerox reserves the right, in whole or in part, in the exercise of its
discretion, to terminate this Agreement upon not less than forty-five (45)
days written notice to ScanSoft.
	 
	9.0	 	EFFECT OF TERMINATION
	 
	9.1	 	Termination or nonrenewal shall not relieve either party of obligations
incurred prior to termination or expiration. All monies due to ScanSoft
from Xerox shall become immediately due and payable upon any termination.
	 
	9.2	 	Upon termination or expiration, Xerox shall, except as provided in this
Section 9.2, (1) stop production and distribution of the Software and (2)
cease use of the ScanSoft Software logo. Xerox shall destroy any ScanSoft
software source code contained in all types of computer memory and all
relevant materials and shall upon request so certify in writing to
ScanSoft within thirty (30) days of termination or expiration.
Notwithstanding the above, (1) Xerox may retain a reasonable quantity of
the Software only for the purposes of providing its customers with ongoing
support and (2) this Agreement shall remain in force and effect for
software packaged with Xerox Products or under contract for sale or
sublicense from Xerox Affiliates as of the termination or expiration date.
	 
	9.3	 	Survival. Termination of this Agreement shall not affect any
existing agreements with customers or with Xerox Affiliates, and the
license and sublicense rights of such parties shall continue perpetually.
The following provisions shall also remain in force and effect according to
their terms after termination expiration or of this Agreement: 4.3, 5.0,
7.0, 10.0, 11.0, 12.0, 13.0, 14.0, 15.0, 18.0, 19.0, 20.0, 21.0 22.0.
Unless this Agreement expressly provides otherwise, or by its nature a
provision cannot survive this Agreement, all other provisions of this
Agreement shall, to the extent applicable, survive the 

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	 	 	expiration or any
termination hereof.
	 
	10.0	 	INDEMNIFICATION
	 
	10.1	 	ScanSoft represents and warrants that it has sufficient right, title and
interest in and to the Software to enter into this Agreement and further
warrants that it is not aware that the Software infringes any patent,
copyright or other proprietary right of a third party and that it has not
been notified by a third party of a possibility that the Software might
infringe any patent, copyright or other proprietary right of a third
party.
	 
	10.2	 	ScanSoft shall defend and indemnify (including reasonable costs and
attorney fees) Xerox and Xerox Affiliates from, and pay any judgment for,
any claim, action or other proceeding brought against Xerox or Xerox
Affiliates arising from the use of the Software, providing that such Xerox
or Xerox Affiliates promptly notifies ScanSoft in writing of any action or
claim, allows ScanSoft, at ScanSoft’s expense, to direct the defense,
gives ScanSoft full information and reasonable assistance required to
defend such suit, claim or proceeding, at no out-of-pocket expense to
Xerox, and allows ScanSoft to pay any judgment, provided further that
ScanSoft shall have no liability for any claim, action or other proceeding
based upon acts or omissions by Xerox, the combination of the Software
with hardware or software not provided by ScanSoft if the claim relates to
such combination, or for settlements or costs incurred without the
knowledge of ScanSoft. Notwithstanding the above, for so long as Xerox
Affiliates act in accordance with the above provisions, a Xerox Affiliate
may participate in actions or claims that are defended by ScanSoft by its
own counsel and at its own expense. In the event that ScanSoft fails to
actively defend or becomes unable to defend any action or claim, then a
Xerox Affiliate, at its sole option, may assume the defense thereof. To
avoid infringement, ScanSoft may, at its option, and at no charge to
Xerox, obtain a license or right to continue the use of the Software or
modify the Software so it no longer infringes, but is still a functional
equivalent of the Software, or substitute a functional equivalent of the
Software.
	 
	10.3	 	The foregoing indemnity does not apply, and Xerox agrees to defend and
indemnify ScanSoft (including reasonable costs and attorneys’ fees), with
respect to any claim brought against ScanSoft alleging patent or copyright
infringement allegedly arising from: (1) the unauthorized combination or
utilization by Xerox of any Software or (2) the unauthorized modification
of any Software by Xerox; (3) the portion of any Software manufactured by
ScanSoft to Xerox’ explicit specifications; (4) the production of images
by Xerox in violation of the proprietary rights of third parties,
providing that ScanSoft promptly notifies Xerox in writing of any such
action or claim, allows Xerox, at Xerox’s expense, to direct the defense,
gives Xerox full information and reasonable assistance required to defend
such suit, claim or proceeding, at no out-of-pocket expense to ScanSoft,
and allows Xerox to pay any judgment, provided further that Xerox shall
have no liability for any claim, action or other proceeding based upon
acts or omissions by ScanSoft, the combination of the Software with
hardware or software not provided by Xerox if the claim relates to such
combination, or for settlements or costs incurred without the knowledge of
Xerox.
	 
	11.0	 	DISCLAIMER
	 
	11.1	 	IN NO EVENT SHALL EITHER PARTY BE LIABLE TO THE OTHER FOR LOST CONTRACTS
OR LOST PROFITS OR ANY SPECIAL, INDIRECT, INCIDENTAL OR CONSEQUENTIAL
DAMAGES IN ANY WAY ARISING OUT OF THE USE OF THE SOFTWARE OR RELATING TO
THIS AGREEMENT HOWEVER CAUSED UNDER A CLAIM OF ANY TYPE OR NATURE BASED ON
ANY THEORY OF LIABILITY (INCLUDING CONTRACT, TORT OR WARRANTY) EVEN IF THE
POSSIBILITY OF SUCH DAMAGES HAS BEEN COMMUNICATED. THIS DISCLAIMER DOES
NOT APPLY TO THE AFORESAID INDEMNIFICATION.
	 
	12.0	 	FORCE MAJEURE
	 
	12.1	 	Neither party shall be liable to the other for its failure to perform any
of its obligations hereunder during any period in which such performance
is delayed by circumstances beyond its reasonable control, provided that
the party experiencing such delay promptly notifies the other party of the
delay.
	 
	13.0	 	CONFIDENTIAL INFORMATION

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	13.1	 	Definition of Confidential Information.
	 
	(a)	 	“Xerox Information” means information concerning current, future, or
proposed Xerox products or processes, techniques and apparatuses; business
forecasts and procurement requirements; plans and technology relating to
the foregoing, and plans and technology related to Xerox Afilliates’
printers, copiers, and other input and output devices.
	 
	(b)	 	“ScanSoft Information” means information obtained from ScanSoft
concerning (i) non-public future products of ScanSoft or (ii) interface
protocols for the Software.
	 
	(c)	 	“Confidential Information” means Xerox Information or ScanSoft
Information, as the case may be, disclosed between ScanSoft and one or
more Xerox Affiliate between the Effective Date of this Agreement and the
termination date of this Agreement as provided in Section 8.0 above
provided that such Information is in writing or other tangible form and
marked as proprietary, confidential, Private Data, Doculock®, or the like
when disclosed or, if disclosed in verbal, audio, or other non-tangible
form, only if summarized in a writing so marked and delivered to the other
Party within 60 days of such disclosure, in which case the Xerox
Information or ScanSoft Information, as the case may be, identified in
such summary shall be subject to the restrictions in this Section 13.0.
	 
	13.2	 	Each party agrees not to intentionally disclose or intentionally make
available to any third party information received from the other party
(hereinafter referred to as “Information” or “Confidential Information”)
in any form without the express written approval of the disclosing party.
	 
	13.3	 	Receiving party shall not intentionally circulate the Information within
its own organization except to those with a specific need to know such
Information. If written approval by disclosing party is given to
receiving party to disclose Information to a third party, receiving party
shall impose similar confidential restrictions on such third party to
which it discloses such Information.
	 
	13.4	 	The obligations on receiving party recited herein shall terminate with
respect to any particular portion of such Information when and to the
extent that it is or becomes:

	 	(i)	 	part of the public domain through no fault of receiving party;
	 
	 	(ii)	 	communicated by disclosing party to a third party free of any obligation of confidence;
	 
	 	(iii)	 	independently developed by receiving party without any reference to the Information;
	 
	 	(iv)	 	known to receiving party free of any obligation of confidence.

	13.5	 	In no event shall the obligation of receiving party with respect to the
Information extend beyond three (3) years from the date of disclosure.
	 
	13.6	 	Upon termination of this Agreement, the receiving party will promptly
return the Information to the disclosing party or shall certify that such
Information has been destroyed except that the receiving party may retain
one (1) copy for archival purposes only.
	 
	14.0	 	ASSIGNMENT
	 
	14.1	 	This Agreement may not be assigned or transferred by either party without
the prior written approval of the other party, which approval shall not be
unreasonably withheld; provided that ScanSoft may assign its rights to any
purchaser of all or substantially all of its business, and Xerox may
assign its rights hereunder, or any portion thereof, to any Subsidiary or
Affiliate of Xerox or to any purchaser of all or substantially all of its
equipment business in connection with which the Software is then used.
Further, Xerox’ or Xerox Affiliates’ rights and obligations under this
Agreement may be exercised and performed in whole or in part by any
Subsidiary or Affiliate of Xerox, provided that Xerox shall continue to be
responsible to ScanSoft for the performance of its obligations under this
Agreement. Subject to the limitations heretofore expressed, this
Agreement shall inure to the benefit of and be binding upon the parties,
their successors, administrators, heirs and assigns.
	 
	15.0	 	MODIFICATION
	 
	15.1	 	This Agreement shall not be modified or amended except by a written
agreement signed by duly authorized representatives of ScanSoft and Xerox.
	 
	16.0	 	BANKRUPTCY OF SCANSOFT OR XEROX

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	16.1	 	To the extent permitted by applicable law (including II U.S.C. Section
365) the non-defaulting party may terminate this Agreement immediately by
written notice to the other in the event the other party makes an
assignment for the benefit of its creditors, admits in writing an
inability to pay debts as they mature, a trustee or receiver is appointed
respecting all or a substantial part of the other party’s assets, or a
proceeding is instituted by or against the other party under any provision
of the Federal Bankruptcy Act and is acquiesced in or is not dismissed
within sixty (60) days, or results in an adjudication of
bankruptcy. To the extent applicable law prevents the non-defaulting
party from terminating this Agreement, if it should wish to do so as
described above, then the parties shall have only those rights and
remedies permitted by applicable law, including the United States
Bankruptcy Act, including but not limited to II U.S.C. Section 365.
	 
	16.2	 	Within thirty (30) days after delivery of the Gold Disk to Xerox,
ScanSoft shall place with the Office of the General Counsel of XEROX one
complete set of source code with Documentation for the software product
identified as link agent, item 3 in Attachment I. The source code and
Documentation shall be delivered for safekeeping to the Intellectual
Property Department of Office of General Counsel, at 800 Long Ridge Road,
Stamford, CT 06904, and shall not be made available to anyone outside the
Office of the General Counsel unless (i) the conditions of section 7.3
(iii) are met, (ii) there is a breach of this Agreement by ScanSoft or
(iii) in the event that ScanSoft files a petition for bankruptcy or in the
event that a proceeding of bankruptcy is commenced for or against ScanSoft
and is acquiesced in or is not dismissed within sixty (60) days, or
results in an adjudication of bankruptcy. ScanSoft agrees to update and
maintain the source code held in safekeeping to reflect all changes made
to the link agent software product during the term of this Agreement.
	 
	17.0	 	COMPLIANCE WITH THE LAW
	 
	17.1	 	Each party represents and warrants compliance with all Federal, State and
local laws, ordinances and regulations applicable to this Agreement
including, but not limited to, (a) applicable requirements of (a) of the
Fair Labor Standards Act, (b) Executive Order 11246, (c) the Vietnam Era
Veterans Readjustment Assistance Act, and (d) the Rehabilitation Act.
	 
	18.0	 	NONPUBLICITY
	 
	18.1	 	Without prior written consent of the other Party, a party shall not (a)
make any news release, public announcement, denial or confirmation of this
Agreement or its subject matter, or (b) advertise or publish any facts
relating to this Agreement.
	 
	19.0	 	CONTROLLING LAW
	 
	19.1	 	This Agreement shall be governed and construed in accordance with the laws of the State of New York.
	 
	20.0	 	GENERAL PROVISIONS
	 
	20.1	 	Waiver. Failure of either party to require strict performance by the
other party of any provision shall not affect the first party’s right to
require strict performance thereafter. Waiver by either party of a breach
of any provision shall not waive either the provision itself or any
subsequent breach.
	 
	20.2	 	No Agency. It is agreed and understood that neither Xerox nor ScanSoft
has any authority to bind the other with respect to any matter hereunder.
Under no circumstances shall either Xerox or ScanSoft have the right to
act or make any commitment of any kind to any third party on behalf of the
other or to represent the other in any way as an agent.
	 
	20.3	 	Headings. The headings and titles of the Sections of the Agreement are
inserted for convenience only, and shall not affect the construction or
interpretation of any provision.
	 
	20.4	 	Severability. If any provision of the Agreement is held invalid by any
law, rule, order or regulation of any government, or by the final
determination of any state or federal court, such invalidity shall not
affect the enforceability of any other provisions not held to be invalid.
	 
	20.5	 	Entire Agreement. This Agreement, including all attachments and
appendices hereto, constitutes the entire agreement of the parties as to
the subject matter hereof and supersedes any and all prior oral or written
memoranda, understandings and 

13

	 	 	agreements as to such subject matter except
that the agreement between Xerox Corporation and ScanSoft executed on or
about March 25, 1998, and the agreement between Xerox Corporation and
Visioneer, Inc., executed on or about November 15, 1996, for which
ScanSoft assumed all rights and liabilities on March 2, 1999 shall not be
superceded but may be modified as explicitly stated in this Agreement.
	 
	21.0	 	YEAR 2000 WARRANTY
	 
	21.1	 	ScanSoft represents and warrants that the Software and ScanSoft’s third
party Software delivered under this Agreement is Year 2000 performance
compliant and thus shall be able to accurately process date data
(including, but not limited to, calculating, comparing, and sequencing)
from, into, and between the twentieth and twenty-first centuries,
including leap year calculations. The remedies available to Xerox for
breach of this warranty shall include prompt repair or replacement of any
Software and Third Party Software or part thereof whose non-compliance is
discovered and made known to ScanSoft in writing. Nothing in this
warranty shall be construed to limit any rights or other remedies Xerox
may otherwise have under this Agreement with respect to uncorrected
program errors or defects.
	 
	22.0	 	EXPORT; RESTRICTED RIGHTS
	 
	22.1	 	Xerox shall not export, re-export or transfer, whether directly or
indirectly, Software, to any person or company who is a legal resident or
is controlled by a legal resident of any proscribed country listed in the
U.S. Export Administration regulations (or any equivalent thereof) unless
properly authorized by the U.S. Government.
	 
	22.2	 	Software shall be provided to the U.S. Government with RESTRICTED RIGHTS.
Use, duplication, or disclosure by the U.S. Government is subject to the
restrictions as set forth in subparagraph (c) (1) (ii) of the Rights in
Technical Data and Computer Software Clause as DFARS 252.227-7013 and FAR
52.227-19, as applicable. Manufacturer is ScanSoft.
	 
	23.0	 	NOTICE
	 
	23.1	 	Any notices given shall be deemed to have been received as follows: if
sent by facsimile or other form of recorded communication, when
transmitted; if sent by certified first class mail, on the date of
delivery as shown on the return receipt; if sent by Federal Express or
equivalent overnight delivery services or by personal delivery, on the
date delivered. Until notified otherwise in writing, the correct
addresses for notice under this Agreement shall be:

If to Xerox:

	 	 	 	 	 
	 	Rita Sherman

Xerox Corporation

200 Cross Keys, Building 815-000

Fairport, New York 14450

Phone: 716.425.6374

Fax: 716.425.6234

Email: rita.sherman@usa.xerox.com	 	
Copy To:
	Office of General Counsel

c/o Counsel to ODPG

Xerox Corporation

800 Long Ridge Road

Stamford, CT 06904

If to ScanSoft:

	 	 	 	 	 
	 	Tom D’Errico

ScanSoft, Inc.

9 Centennial Drive

Peabody, Massachutetts 01960

Phone: 978.977.2058

Fax: 978.977.2412

Email: tderrico@scansoft.com	 	 	 

14

     IN WITNESS WHEREOF, the parties have executed this Agreement on the
dates shown below.

	 	 	 	 	 	 	 
	SCANSOFT, INC.	 	XEROX CORPORATION
	 
	 	 	 	 	 	 	 
	 
	By:	 	
 /s/ Wayne Crandall          
	 	By:
	 	 /s/ Gil Hatch                    
	 
	Name:	 	
 Wayne Crandall                
	 	Name:
	 	 Gil Hatch                         
	 
	Title:	 	
 Vice President                   
	 	Title:
	 	 President OSG                
	 
	Date:	 	
 September 30, 1999           
	 	Date:
	 	 September 30, 1999        
	 
	 	 	 	 	 	 	 
	 
	Address:	 	
9 Centennial Drive            

Peabody, MA  01960         

USA                                    

	 	Address:
	 	200 Canal View Blvd     

Rochester, NY 14623    

USA                                
	 
	 	 	 	 	 	 	 
	 
	Phone:	 	
978-977-2000                      
	 	Phone:
	 	                                         
	 
	Fax:	 	
978-977-2425                      
	 	Fax:
	 	                                         

15

ATTACHMENT I

ScanSoft products 1-5 shall be collectively referred to as Software.

	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	

	 	 	 	 	 	 	 	 	 	 	 	 	Number of Individual	 	Number of Server
	ITEM	 	ScanSoft Product	 	Royalty1	 	User Licenses	 	Licenses
	

	 	 	 	 	Class A	 	Class B	 	Class A	 	Class B	 	Class A	 	Class B
	 	 	 	 	Xerox	 	Xerox	 	Xerox	 	Xerox	 	Xerox	 	Xerox
	 	 	 	 	Product	 	Product	 	Product	 	Product	 	Product	 	Product
	

	1
	 	TextBridge Pro 8.x	 	 	
$137.50
	 	 		$275.00
	 	 	 	25
	 	 	 	50
	 	 	 	1
	 	 	 	2	 
	
	 	 	 	 	 	 	 	 	 	

	2
	 	PaperPort LE 6.x	 	 	
	 	 	 	
	 	 	 	25
	 	 	 	50
	 	 	 	1
	 	 	 	2	 
	

	3
	 	link agent

(ref. Attachment 4,
section 5.0)	 	 	
None
	 	 	 	None
	 	 	 	Unlimited
	 	 	 	Unlimited
	 	 	 	Unlimited
	 	 	 	Unlimited	 
	
	 	 	 	 	 	 	 	 	 	

	4
	 	Installer

(ref. Attachment 4,
section 5.0)	 	 	
	 	 	 	
	 	 	 	Unlimited
	 	 	 	Unlimited
	 	 	 	Unlimited
	 	 	 	Unlimited	 
	

	5
	 	Upgrade from
TextBridge 98
 to
TextBridge Pro 8.x

Upgrade from
PaperPort 4.04
 to
PaperPort LE 6.x	 	 	
See
Below2
	 	 	 	N/A
	 	 	 	25
	 	 	 	N/A
	 	 	 	1
	 	 	 	N/A	 
	

	 	 	1. Royalty for Class A and Class B Xerox Products shall be reduced to
$112.50 and $225.00 respectively after Xerox has paid a total of $1,375,000.00
in royalties and fees under this Agreement.
	
	
	
	

	 	 	2. The royalty for item number five above shall be a flat fee of $75,000.00
which shall be invoiced by ScanSoft on or about the Effective Date of this
Agreement and paid by Xerox sixty (60) days following receipt by Xerox of a
valid invoice. Payment of such one time product upgrade will enable Xerox to
update its current installed base to the Software included in the table above.

License Fee

Xerox shall pay ScanSoft a one-time non-refundable license fee of $619,000.00,
which shall be invoiced by ScanSoft on or about the Effective Date of this
Agreement and paid by Xerox sixty (60) days following receipt by Xerox of a
valid invoice.

Royalty Calculation

Class A Xerox Products are Xerox Products marketed at 20-40 pages per minute.
Class B Xerox Products are Xerox Products marketed at 41-75 pages per minute.
Beginning January 1, 2000 Xerox shall pay the applicable royalty for 34% of the
revenue bearing installations of Class A Xerox Products and for 15% of the
revenue bearing installations of Class B Xerox Products. Royalties accrue upon
complete installation of the revenue bearing Xerox Product at a customer’s site
and are subject to adjustment for Xerox’ customer return policy for such units
to the extent units are returned to Xerox.

Prior Agreements

Effective October 1, 1999, the royalty rate, calculation, and payment for the
Bundled Solution License Fee for TextBridge Pro ‘98, as agreed between the
parties in the prior agreement executed on or about March 25, 1998, reference
article 3.0 shall be superceded and nullified by this Agreement. Also,
effective October 1, 1999, the royalty rate, calculation, and payment for
Visioneer PaperPort 4.04 software, as agreed between Visioneer, Inc. and Xerox
Corporation executed on or about November 15, 1996, reference article 6.0, for
which ScanSoft assumed all rights and liabilities on March 2, 1999, shall be
superceded and nullified by this Agreement.

The royalties listed above are based on the following ScanSoft product pricing:

	 	 	 	 	 
	

	ScanSoft Product	 	Price per Individual User License	 	Price per Server License
	

	TextBridge Pro 8.x	 	
$3.50
	 	No Charge
	
	
	
	

	PaperPort LE 6.x	 	
$2.00
	 	No Charge
	
	
	
	

	link agent	 	
No Charge
	 	No Charge
	
	
	
	

	Installer	 	
No Charge
	 	No Charge
	

16

ATTACHMENT II

XEROX PRODUCTS

Xerox Products shall mean Xerox’ document system product(s) that implement the
architecture as set forth in Attachment V.

Future Xerox products requirements, as defined and communicated to ScanSoft
from Xerox through revision and/or modification to the specifications in either
Attachment IV or Attachment V, wherein both parties mutually agree to
associated deliverables, schedule, and cost, shall be managed in accordance
with the change control procedures outlined in Attachment VI hereto.

17

ATTACHMENT III

SOFTWARE TECHNICAL SUPPORT AND TRAINING

1.) Software Support by ScanSoft and Xerox

ScanSoft will provide technical support to Xerox’ customer support and
engineering personnel, as it may be reasonably requested by Xerox, to fulfill
its maintenance obligations to its resellers and end users. Technical support
shall include telephone support to Xerox’ Second and Third Level Support as
well as engineering staff on the operation, integration and utilization of the
Software, and maintenance modifications and bug corrections for the Software to
bring them into conformance with the specifications. There will be no charge
to Xerox for this telephone and Third Level of support. When a customer
problem is determined by Xerox’ Customer Support to be associated directly with
the Software and resolution of the problem is not within the range of training
received or knowledge accrued by Xerox’ Customer Support, Xerox’ Customer
Support shall contact ScanSoft’s OEM telephone support for assistance as listed
in 4.1 of this Attachment.

2.) Support Levels

	2.1	 	First Level Support: Xerox support centers provide first level support to
end customers. Cases that can be immediately answered and require no
callback to the customer. No assistance from Second Level Support is
required.
	 
	2.2	 	Second Level Support: Xerox support centers provide second level support
to end customers. Cases that involve knowledge of the Software program,
problem isolation or investigation by technical support technicians and
may require a callback to the customer. Assistance from ScanSoft’s OEM
telephone support and/or Third Level Support may be required.
	 
	2.3	 	Third Level Support: Xerox support centers provide third level support to
end customers. Cases that involve detailed knowledge of the Software
program, problem isolation and investigation by Xerox engineers.
Assistance and resolution may be required from ScanSoft.

3.) ScanSoft Response to Problems ranked by Severity

	3.1	 	Severity 1 Problems Means the Software has a problem, defect or
malfunction which renders the Software or a major component of the
Software inoperative. With a Severity l Problem there is a significant and
on-going interruption to the end user or customers business or there is an
unrecoverable loss or corruption of data. No circumvention is available.
ScanSoft agrees to commence an investigation of any “Severity 1 Problems”
within one (1) business day of notice by Xerox and initiate the
development of corrections immediately thereafter. ScanSoft shall commit
commercially reasonable efforts to provide Xerox with a fix, workaround or
permanent fix within fourteen (14) business days. ScanSoft agrees to
provide feedback specifying the resolution outlook timeline to Xerox
within two (2) business days of initial problem notice.
	 
	3.2	 	Severity 2 Problems Means the Software has a problem, defect or
malfunction where the Software or a major component of the Software is not
working or is malfunctioning in a manner which restricts the end user or
customer’s use of the Software. ScanSoft agrees to commence an
investigation of any “Severity 2 Problems” within two (2) business days of
notice by Xerox and initiate the development of corrections immediately
thereafter. ScanSoft shall commit commercially reasonable efforts to
provide Xerox with a fix, workaround or permanent fix within six (6)
weeks. ScanSoft agrees to provide feedback specifying the resolution
outlook timeline to Xerox within five (5) business days of initial problem
notice by Xerox.
	 
	3.3	 	Severity 3/4 Problems Means the Software has a problem, defect or
malfunction where the Software or a component of the Software is not
functioning as specified in the documentation and caused a minor impact on
the end user or customers use of the Software. An acceptable
circumvention or workaround is available. ScanSoft agrees to commence an
investigation of any “Severity 3 or 4 Problems” within five (5) business
days of notice by Xerox and shall be corrected in future releases of the
Software. ScanSoft agrees to provide feedback specifying the resolution
outlook timeline to Xerox within five (5) business days of initial problem
notice by Xerox.

4.) Support Contacts

	4.1	 	ScanSoft Support in the US, Canada, and Europe. ScanSoft will make an OEM
Hotline telephone line available to Xerox, Xerox Affiliates and Xerox
Subsidiaries as follows: US and Canada hotline telephone number is
[1-800-543-1103], Europe hotline telephone number is [978-977-2450]. At a
minimum, ScanSoft will provide Second Level Support to these Xerox
locations during the business hours of 08:30 to 17:30 Eastern Time, Monday
through Friday (ScanSoft holidays excluded).
	 
	4.2	 	ScanSoft will provide US-based OEM Hotline for calls from Xerox Customer
Support Centers in Latin and South America during the same business hours
as above.

18

	4.3	 	ScanSoft will provide web and email based OEM technical support
(support_services @scansoft.com) for Xerox on a worldwide basis.
	 
	4.4	 	Second and Third Level local language support for calls in Europe (XL) is
provided by an office in the UK (NEED TEL #) in German, French, and
Italian; in Canada (XCI) support is provided by an office in the US in
English only; and in Latin America (ACO) support is provided by an office
in the US in English only, or via email in English.
	 
	4.5	 	ScanSoft and Xerox will each designate a technical support manager
responsible for overall communications between each company.

5.) Support Responsibility

In cases where Xerox receives call on any questions concerning other ScanSoft
products, or other scanner driver connectivity, it will be the responsibility
of ScanSoft and will be redirected from Xerox to ScanSoft. The customer may
call the ScanSoft support line at [800-880-8806] with in the USA,
[978-977-0764] for outside of the support for assistance with such questions.
Xerox Customer Support will be responsible for all other calls related to the
Software operation and the Xerox Product scan to file capabilities. ScanSoft
will forward all calls related to the Xerox Product and the related scan to
file capabilities to Xerox customer support centers. If both parties agree to
transfer responsibility for communicating with an individual customer to
ScanSoft, ScanSoft will assume all further responsibility for that customer’s
support, including sending any pertinent bug fixes, if available, at ScanSoft’s
own expense.

6.) Software License for Xerox Support Centers

In order to address customer support issues, Xerox support centers or their
subcontractors are permitted to use the Software solely for support and/or
testing purposes for Xerox customers. Such installation is not licensed for
operational use, and is for support purposes only. The Software is for
internal use only and will not be distributed externally. ScanSoft agrees to
provide such software as is reasonably requested by Xerox at no cost.

7.) Software Problem Resolution Process and Escalation Process

The Software Problem Report (SPR) process includes the following steps:

	•	 	SPR’s are filed as needed by Xerox.
	 
	•	 	SPR’s are prioritized by Xerox.
	 
	•	 	ScanSoft personnel are assigned to take direct responsibility for handling the SPR.
	 
	•	 	The timeline requirement is identified to resolve the SPR.
	 
	•	 	The strategy that will be taken to resolve the issue is identified.
	 
	•	 	Resolution to the problem or work-around is communicated within
timelines detailed in Section 3 of this Attachment III.
	 
	•	 	As appropriate and where applicable, “patches” are posted on the web
for download by ScanSoft.
	 
	•	 	At the discretion of ScanSoft or Xerox, fixes may be rolled into a
point release which can then be sent to by Xerox to customers
experiencing a particular problem addressed in that version.
	 
	•	 	The patch or point release will be delivered to Xerox Third Level
Support for fix verification at the same time as ScanSoft performs QA on
the release.
	 
	•	 	Communication of the progress against the action plan is made on a
daily basis for critical problems and on a weekly basis for normal
problems.

8.) Quarterly Reviews

	8.1	 	Xerox and ScanSoft recognize and acknowledge the importance to each other
of effective customer support and will conduct quarterly reviews to ensure
the process is satisfying all parties. Additionally, if at any time this
Software Technical Support and Training process is failing to satisfy
either party, an interim review of the situation and the process to date
will be made by ScanSoft and Xerox.
	 
	8.2	 	Xerox and ScanSoft recognize and acknowledge the importance to each other
of Third Level technical support information regarding both individual
cases and aggregate support statistics, and commit to provide each other
with regular reports containing pertinent technical support information.
	 
	8.3	 	ScanSoft will provide Xerox with a “Solutions” database of known problems
and solutions on a monthly basis in a format that is compatible with the
Solution Exchange Standard, however, Xerox will accept the subject
database in Microsoft Word ‘98 format until such reasonable time as
ScanSoft is prepared to deliver the format required by Xerox. The
database information is expected to be available from ScanSoft beginning
in July 1, 1999, or sooner, and updates will be provided within twenty
(20) days after the last day of each calendar month through the term of
this Agreement. The format for the subject database is 

19

	 	 	Microsoft Word
‘98. The basis for this information is on the ScanSoft web page as
technical information bulletins (TIB’s) which Xerox has access to.

9.) Training

ScanSoft recognizes and acknowledges the importance of providing training
regarding the Software.

	9.1	 	ScanSoft will develop training materials that cover the information
required to adequately support the Software. At a minimum, ScanSoft will
provide to Xerox the same level of training that Xerox provides to its own
support staff. The training materials will include robust troubleshooting
and escalation procedures or guidelines.
	 
	9.2	 	To ensure adequate customer support, ScanSoft’s training of Xerox
designated personnel will be provided, as is requested by Xerox prior to
Xerox’ product introduction date. The training will be held at a Xerox
location designated by Xerox for a mutually agreeable period appropriate
to the training program.
	 
	9.3	 	Training will include, but shall not be limited to, back-up documentation
material (instructor notes, transparencies, lab exercises/lab
specifications, and hand-out documentation, all Software features and
functions, customer usability, robust troubleshooting for topics (such as
Installation, Software Upgrade, Quality of OCR, OCR application interface,
operability to optimize OCR), escalation procedures/guidelines and
relationship building for those support personnel who will be involved in
(bi-directional) escalation and advanced troubleshooting based on customer
support history.
	 
	9.4	 	ScanSoft will support Xerox in conducting training for the trainers from
each of the major Xerox customer support functions that is using or
supporting the Software.
	 
	9.5	 	Xerox may further request and ScanSoft shall provide additional training
support as reasonably necessary to inform all Xerox personnel of the
Software.
	 
	9.6	 	ScanSoft will provide on-site training at its facility, when requested by
Xerox, in order to provide an in-depth, hands-on customer support
experience for a mutually agreed upon number of Xerox Third Level Support
technicians.
	 
	9.7	 	All initial training and subsequent training pertinent to a new product
launch shall be provided at no charge to Xerox, however for any
incremental training sessions Xerox shall pay ScanSoft for reasonable
travel and lodging expenses.

20

Attachment IV

8/10/1999

1.1.1. Document Scope

     This document will describe the features of the ScanSoft releases for the
Xerox OEM clients known as Xerox Scan to Desktop: Standard Edition.

1.1.2. Project Scope

     This project will consist of two software kits. Each kit will contain a
single master CD created to support Windows 95, Windows 98 and Windows NT 4.0.
This master CD will contain PaperPort, TextBridge Pro, link agent, Installer
software and associated documentation. While it is understood that Windows 2000
is not launched, it is assumes that this code will support this environment.
The software versions for each will be:

     Standard Edition:

	 	 	 	PaperPort 6.1 LE

TextBridge Pro 8.0

link agent 1.0

Installer

1.1.3. Project Schedule

Date

Standard Edition:

	 	 	 	Golden Master (English and French) 9/15/99

Golden Master (English, French, German, Italian, Spanish, and Brazilian Portuguese) 10/15/99

1.1.4. Code Base

The code base will be with the following UI languages – English US,
International English, French, German, Italian, Spanish, and Brazilian
Portuguese.

21

	 	 	 
	Appendix A	 	
Document Centre Customer Support Information

Text Bridge Pro Support Requirements

The following table lists the support text for the SUPPORT.RTF files within
each ScanSoft application and language.

English

	 	 	[US: 800-821-2797]

[UK/IRE: 01908 692 444]

[Canada: 800-939-3769]

German

	 	 	Contact your local Xerox Support

French

	 	 	Canada: [800-939-3769]

France: Contact your local Xerox Support

Italian

	 	 	Contact your local Xerox Support

Spanish

	 	 	Contact your local Xerox Support

Brazilian Portuguese

	 	 	Contact your local Xerox Support

Note:

These numbers will exist in the help files of TextBridge Pro,
PaperPort and the link agent.

22

	 	 	 
	Appendix B	 	
Software Interoperability

ScanSoft Software will properly inter-operate with Xerox desktop software.
Operationally, all Software shall function as documented. In addition, but not
exclusively:

	1.	 	PaperPort, TextBridge Pro and link agent will not interfere with the
operation or use of CentreWare Network Scanning software
	 
	2.	 	TextBridge Pro will process Document Centre created TIFF and Multipage
TIFF images.
	 
	3.	 	PaperPort will utilize TextBridge Pro 8.0 software without modification
	 
	4.	 	PaperPort 6.1 LE will properly upgrade PaperPort 4.x desktops
	 
	5.	 	TextBridge Pro 8.0 will properly detect and install over TextBridge Pro
98
	 
	6.	 	All software will include uninstall procedures

23

	 	 	 
	Appendix C	 	
Comparison of PaperPort Products

COMPARISON OF PAPERPORT PRODUCTS

	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	PaperPort	 	PaperPort	 	PaperPort	 	PaperPort
	Key Features	 	Workgroups 6.1	 	Deluxe 6.1	 	6.1 LE	 	4.0 LE
	
	 	
	 	
	 	
	 	

	Thumbnails of scanned images	 	 		 	 	 		 	 	 		 	 	 		 
	
	
	
	

	Page View	 	 		 	 	 		 	 	 		 	 	 		 
	
	
	
	

	Links	 	 		 	 	 		 	 	 		 	 	 		 
	
	
	
	

	Built-in image compression	 	 		 	 	 		 	 	 		 	 	 		 
	
	
	
	

	TWAIN scanner support	 	 		 	 	 		 	 	 		 	 	 		 
	
	
	
	

	Image editing & notation Tools	 	 		 	 	 		 	 	 		 	 	 		 
	
	
	
	

	OCR	 	 		 	 	 		 	 	 		 	 	 		 
	
	
	
	

	ScanDirect with Visioneer sheetfed scanner	 	 		 	 	 		 	 	 		 	 	 		 
	
	
	
	

	32 Bit Application	 	 		 	 	 		 	 	 		 	 	 	 	 
	
	
	
	

	File system integrated with Windows File system	 	 		 	 	 		 	 	 		 	 	 	 	 
	
	
	
	

	Search documents by title, keyword. annotations, URL	 	 		 	 	 		 	 	 		 	 	 	 	 
	
	
	
	

	Convert any document to a full color image for annotating
and
e-mailing as read-only	 	 		 	 	 		 	 	 		 	 	 	 	 
	
	
	
	

	Universal viewer for sending email file attachments	 	 		 	 	 		 	 	 		 	 	 	 	 
	
	
	
	

	Nested Folders	 	 		 	 	 		 	 	 		 	 	 	 	 
	
	
	
	

	Thumbnails of Microsoft Office documents	 	 		 	 	 		 	 	 		 	 	 	 	 
	
	
	
	

	Thumbnail Web Bookmarks integrated with web browser)	 	 		 	 	 		 	 	 	 	 	 	 	 	 
	
	
	
	

	WYSIWYG web page printing	 	 		 	 	 		 	 	 	 	 	 	 	 	 
	
	
	
	

	Read saved web pages off-line	 	 		 	 	 		 	 	 	 	 	 	 	 	 
	
	
	
	

	Annotate web pages	 	 		 	 	 		 	 	 	 	 	 	 	 	 
	
	
	
	

	Open, view and print documents without creator application	 	 		 	 	 		 	 	 	 	 	 	 	 	 
	
	
	
	

	Search documents by content	 	 		 	 	 		 	 	 	 	 	 	 	 	 
	
	
	
	

	Network folders accessible, sharable and searchable	 	 		 	 	 	 	 	 	 	 	 	 	 	 	 

24

	 	 	 
	Appendix D	 	
Comparison of TextBridge Pro Products

COMPARISON OF TEXTBRIDGE PRO PRODUCTS

	 	 	 	 	 	 	 	 	 
	 	 	TextBridge Pro 8.0	 	TextBridge Pro 9.0
	 	 	 	 	 	 	Business Edition
	

	Over 99% Accuracy
	 	 	 	 	 	 (14% improved
over 8.0)
	
	
	
	

	Reads Text on Tinted Backgrounds
	 	 	 	 	 	 		 
	
	
	
	

	AccumorphTM Technology
	 	 	 	 	 	 		 
	
	
	
	

	Retains Color Pictures
	 	 	 	 	 	 		 
	
	
	
	

	Easy-To-Use 1-2-3 Interface
	 	 	 	 	 	 		 
	
	
	
	

	PageMirrorTM Formatting
Technology
	 	 	 	 	 	 		 
	
	
	
	

	Batch Processing Scheduler
	 	 	 	 	 	 		 
	
	
	
	

	WYSIWYG Web Output
	 	 	 	 	 	 		 
	
	
	
	

	Table Editing Tools
	 	 	 	 	 	 		 
	
	
	
	

	Interactive Assistance Wizard
	 	 	 	 	 	 		 
	
	
	
	

	Enhanced Spell-Checker
	 	 	 	 	 	 		 
	
	
	
	

	Original Image Reference Pop-ups
	 	 	 	 	 	 		 
	
	
	
	

	User-defined Page Types
	 	 	 	 	 	 		 
	
	
	
	

	Foreign Languages Support
	 	 	11	 	 	 	56	 
	
	
	
	

	Zone Templates
	 	 		 	 	 		 
	
	
	
	

	Proofreading
	 	 		 	 	 		 
	
	
	
	

	Picture Zoning
	 	 		 	 	 		 
	
	
	
	

	Table Zoning
	 	 		 	 	 		 
	
	
	
	

	Training
	 	 		 	 	 		 
	
	
	
	

	Searchable PDF output
	 	Limited	 	Extensive
	
	
	
	

	HTML support
	 	Text only	 	Text and page
layout
	
	
	
	

	Dual Page for book OCR
	 	 		 	 	 		 

25

	 	 	 
	Appendix E	 	
Link agent Specifications

Metropolis

Functional Specification

Revision History:

	 	 	 	 	 	 	 
	Version 1	 	
7/13/99
	 	Steve Martin
	 	Created
	
	
	
	

	Version 1.1	 	
7/26/99
	 	Maria Lanni, Xerox

Corporation
	 	Updates made based on Xerox Peer review 7/23/99.
Rita Sherman, Lawana Jones, George Schneider,
David Lowy, John Serio.
	
	
	
	

	Version 1.2	 	
7/28/99
	 	Steve Martin
	 	Feedback and Updates
	
	
	
	

	Version 1.3	 	
7/30/99
	 	Steve Martin
	 	Added/IMPORTD, handling for TIF extension in XSM
	
	
	
	

	Version 1.4	 	
8/2/99
	 	Maria Lanni, Xerox

Corporation
	 	Added: The link agent will create a single stack
for each document (Multi-page-TIFF, Single-Page
TIFF(.XSM) and PDFs). Per David Lowy’s request.
Added link agent Documentation will be
translated into required languages.
	
	
	
	

	Version 1.4.1	 	
8/5/99
	 	Maria Lanni, Xerox

Corporation
	 	Added wording to software selection screen for
License Agreement.
Also describe current behavior of link agent
when no file is set to be watched.

This document describes the features to be delivered from ScanSoft Inc. to
Xerox ODP for the Document Centre Scan To File functionality.

Introduction

ScanSoft will develop and deliver PaperPort 6.1 LE, TextBridge Pro 8.0, the
link agent and a common installer . Each product will be localized to US
English, UK English, French, Italian, German, Spanish, and Brazilian
Portuguese. All products and languages will be integrated into a single
install process, on a single CD.

PaperPort 6.1 LE

Overview

Metropolis includes a customized version of PaperPort 6.1 LE. The
specifications for the non-customized version are documented in version 1.0 of
“PaperPort Document Management Software”. The customizations are described
below.

Functional Requirements

/IMPORT

PaperPort 6.1 LE will support the /IMPORT command-line parameter. This enables
PaperPort to import TIFF image files, converting them to the .MAX format, and
placing them on the PaperPort desktop. The syntax for the command is as
follows:

     Paprport.exe /import <filename>

where <filename> specifies the full path of the file to be imported. The
filename path must support mapped drive as well as UNC file names. Spaces
shall be supported in the filename and the filename path. Additionally, the
/import command must be able to import all pages of a multi-page TIFF file.

/IMPORTD

PaperPort 6.1 LE will support the /IMPORTD command-line parameter. This
enables PaperPort to import TIFF image files, converting them to the .MAX
format, and placing them on the PaperPort desktop. Additionally, this
command-line will delete the source file. The syntax for the command is as
follows:

     Paprport.exe /importd
<filename>

26

where <filename> specifies the full path of the file to be imported. The
filename path must support mapped drive as well as UNC file names. Spaces
shall be supported in the filename and the filename path. Additionally, the
/importd command must be able to import all pages of a multi-page TIFF file.

API Enhancements

The PaperPort Link API will be extended to support the ability to append files
when importing. The IPaperPortExportImport Link server will support the
PPExpImp_IMPORT_APPEND flag, which is used with the Import method. This is
required to enable the link agent to be able to import .XSM files.

This can be verified by verifying that the link agent can import all pages of a
multi-page XSM file, or with the OLE-COM Object Viewer that ships with
Microsoft Visual C++.

TextBridge Pro 8.0

Overview

Metropolis includes a customized version of TextBridge Pro 8.0 OEM. The
specification for the non-customized version is “TextBridge Pro OEM Spec. V
1.2” The customizations are described below.

Functional Requirements

TextBridge Pro 8.0 will be able to save to the following flavors of PDF:

     •     PDF/Image Only

     •     PDF/Image & Text

     •     PDF/Normal, highly suspect words

     •     PDF/Normal, no word images

     •     PDF/Normal, suspect word images

		
	 	     
	 
	 	     Figure 1: TextBridge Pro 8.0 Settings.

The contents of the conv.dat file will contain the following entries to enable
pdf output.

PDF/Image Only (*.pdf)|*.pdf|IMGONLY|0|ON|ON|PDF

PDF/Image&Text (*.pdf)|*.pdf|IMGPTEXT|0|ON|ON|PDF

PDF/Normal, highly suspect words (*.pdf)|*.pdf|NORMAL|200|ON|ON|PDF

PDF/Normal, no word images (*.pdf)|*.pdf|NORMAL|0|ON|ON|PDF

PDF/Normal, suspect word images (*.pdf)|*.pdf|NORMAL|300|ON|ON|PDF

27

Link agent

This section describes the minimum functional requirements for the link agent.

Overview

The Xerox Document Centre family can scan documents directly into a networked
or local file server repository. The link agent transfers files from a network
repository into the PaperPort 6.1 LE desktop.

Strategy

These requirements are made according to the following proposed strategy. A
separate link agent will be delivered by ScanSoft Inc. This agent in general
will:

	1.	 	Run as a task on a Windows desktop.
	 
	2.	 	Monitor and lock (watch) a local or network directory for scanned files
(repository).
	 
	3.	 	Copy found scanned files to the Windows machine.
	 
	4.	 	Delete scanned files and associated files from the network directory
(repository).
	 
	5.	 	Launch PaperPort 6.1LE
	 
	6.	 	Import the scanned files into the PaperPort desktop.
	 
	7.	 	Display thumbnails in the PaperPort Desktop.
	 
	8.	 	Remove the Repository lock when the Application is shutdown or the watch
directory is changed.

Functional Requirements

This section describes the detailed functional requirements needed for the link
agent version 1.0

The link agent is a Win 32 application that runs on Win 95, Win98 and NT4.0.

The link agent will provide an interface to allow the user to select a folder
using the Windows Explorer dialog to watch.

The link agent will be activated at StartUp.

The link agent will ask the user to select a folder to watch if there is no
folder selected. The link agent will continue to ask the user to select a
folder to watch at startup until there is a folder selected.

The link agent will watch a folder on the network. Current ODPG supported
Networks – NetWare 3.x, 4.x Bindery, 4.x NDS, Win NT 3.51, and Win 4.0.

The link agent will watch a local folder.

The link agent will use the repository watch mechanism to lock any folder it
is watching.

The link agent will poll the folder on a periodic basis.

The link agent poll interval will be set by the user.

The link agent polling interval can be from 1 second to 10 minutes in the
following order. {1s, 2s, 5s, 10s, 30s, 1m, 2m, 3m, 5m, 10m}. The link agent
polling interval default shall be 30s.

The link agent will lock a scanned document when it is discovered in the
folder, using the locking mechanism described below.

The link agent will accept XSM documents, multi page TIFF documents, and PDF
documents.

The link agent will launch PaperPort.

The link agent will allow the image contents of the scanned document to be
visible on the PaperPort desktop.

The link agent will create a single stack for each document (Mult-page-TIFF,
Single-Page TIFF(.XSM) and PDFs).

28

The link agent will delete the XSM, TIFF, PDF, and associated XST documents
from the folder when the processing has successfully completed.

The link agent will remove the document lock when the document processing has
completed.

The link agent will rename .xsm files to .ERR if document processing can not be
properly processed.

The link agent will rename multi-page TIFF files to .ERR if document processing
can not be properly processed.

The link agent will rename pdf files to .ERR if document processing can not be
properly processed.

The link agent will run as a tooltray icon.

The link agent will indicate when it is processing a document by changing the
icon in the tooltray, and by changing the tool-tip to read “processing”

The link agent will offer the user the option of launching PaperPort in an Open
Window or Minimized or of not opening PaperPort.

The link agent will remove the repository lock when the application is shutdown
or when the watch directory is changed.

When processing XSM folders, the link agent will check for the existence of the
TIF extension on the TIFF image pages. If the extension is already present,
the link agent will not append the TIF extension.

User Interface

The link agent runs as an icon in the tooltray. The settings dialog can be
invoked by double-clicking on the task bar icon, or by right-clicking on the
icon and selecting “Settings...” The Settings dialog enables a user to select
the folder that is watched, to modify the polling interval, and to define how
PaperPort will behave when documents are retrieved. The tool tip will read
‘monitoring’ when the link agent is active but not processing. The tool tip
will read ‘processing’ when the link agent is active and processing.

     

     Figure 3: Tooltray program example.

     Figure 3 shows an example of a tooltray program. The page icon on the far
left represents the link agent.

     

     Figure 4: Example of the Settings dialog.

29

     

     Figure 5: Link agent About Box.

Repository Watching and Document Locking

There are other support applications that provide similar watch functions.
These applications are to mark the repository as being “Watched”.

The link agent must prevent other applications from watching the same
repository. Thus eliminating race conditions and contention issues by
providing this “Watch Mechanism”.

The link agent must guarantee mutual exclusion of the repository.

The “Watch Mechanism” is a text file name repwatch.xsw. The presence of this
file shows that the repository is being watched by another application and is
not eligible for watching.

The link agent “Watch Mechanism” text file contents must follow the following
description below:

[service CENTREWARE_WATCH_FOLDER]

watch_1{
     string
Watch.Service = “DOCUMENTCENTRE_LINK_AGENT”;
     string
Watch.UserName = “jserio”;
     string
Watch.ComputerName = “SOYO”;

}

end

In the link agent’s “Watch Mechanism” the UserName and ComputerName values
shall be changed to reflect the current user name and current computer name.
The Watch Service value shall not be modifiable.

The link agent must lock an XSM file while it is being processed. The document
will be locked by creating the folder JOBNAME.LCK, where JOBNAME is the name of
the XSM folder being processed.

The link agent must release the document lock when processing is complete. The
lock is released by deleting the JOBNAME.LCK folder.

The link agent must delete .XST files when processing a PDF or TIFF is
complete.

Documentation

ScanSoft will deliver documentation for the link agent in PDF and camera ready
form. The link agent documentation will be translated into US English, UK
English, French, Italian, German, Spanish, and Brazilian Portuguese. The PDF
file will be installed, and a shortcut added to the PaperPort Group on the
Start Menu group.

Installer

Overview

ScanSoft will provide an integrated installer that installs PaperPort,
TextBridge, and the link agent. All languages will be integrated into a single
CD, and are user selectable.

Functional Requirements

The installer will provide an integrated solution for installing all languages
of PaperPort 6.1 LE, TextBridge Pro 8.0, and the link agent V 1.0.
The installer will enable users to install any combination of the three
components, PaperPort and/or TextBridge and/or link agent.

The installer will ask the user to reboot only once, at the end of the install
of the selected components.

The installer will follow the following process:

30

	 	1.	 	Ask user for required localization (language) (Figure 6)
	 
	 	2.	 	Present the user with options for installation (Figure 7)
	 
	 	3.	 	Install selected software (Optionally choose any or all software)

The installer will place PaperPort installed programs in the PaperPort Group on
the Start Menu.

The installer will place the link agent installed programs in the PaperPort
Group on the Start Menu.

The installer will place TextBridge installed programs in the TextBridge Group
on the Start Menu.

The Uninstaller for each component is available from the Control Panel’s
“Add/Remove Programs”.

User Interface

The localization and software selection screens will contain Xerox and Document
Centre logo graphics and text.

The localization screen Figure 7) enables the user to choose between the
following languages: US English, UK English, French, Italian, German, Spanish,
and Brazilian Portuguese. The buttons will be labeled in the native language.

The software selection screen (Figure 8) enables the user to choose the
software components to be installed. The software selection screen shall state:
USING THE SOFTWARE PACKAGE SIGNIFIES YOUR ACCEPTANCE OF THE LICENCE AGREEMENT,
IF YOU DO NOT ACCEPT THIS AGREEMENT, YOU MUST RETURN THE SOFTWARE PACKAGE
UNUSED AND DELETE ANY SOFTWARE FILES ACCESSED BY YOU FROM ANY AND ALL COMPUTER
MEMORY INTO WHICH SUCH SOFTWARE HAS BEEN LOADED OR STORED.

Figure 7: Installer localization selection screen

31

Figure 8: Software Selection Screen

Component Install Requirements

PaperPort 6.1 LE

The PaperPort installer will not display the Select Scanner dialog.

The PaperPort installer will only offer to reboot if it is the last component
installed.

TextBridge Pro 8.0

The TextBridge installer will only offer to reboot if it is the last component
installed.

link agent

The link agent installer will only offer to reboot if it is the last component
installed. The link agent shall not install unless PaperPort Version 6.1 LE is
already installed.

The link agent installer will install the following files into the PaperPort
6.1 LE install folder:

	 	 	Xdcla.exe

XdclaRes.dll

CD Structure

The root of the CD will contain the autorun, the language selector, and a
folder for each language. Each language will include folders for the link
agent, PaperPort, and Textbridge Pro. The English folder will also include the
tour.

\autorun.inf —autorun

\setup.exe —language picker program

\install.pdf —installer documentation

\english
     \tour
     \link

agent
     \paperport
     \tbpro8.0
          \acrobat

\french
     \link

agent
     \paperport
     \tbpro8.0
          \acrobat

32

\german
     \link

agent
     \paperport
     \tbpro8.0

          \acrobat

\Intl—Eng
     \link

agent
     \paperport
     \tbpro8.0
          \acrobat

\italian
     \link

agent
     \paperport
     \tbpro8.0
          \acrobat

\port
     \link

agent
     \paperport
     \tbpro8.0
          \acrobat

\spanish
     \link

agent

     \paperport

     \tbpro8.0

          \acrobat

33

ATTACHMENT V

Note: 191 page document provided separately

SDK SCANNING SERVICES

DEVELOPER’S SCAN ATTRIBUTES MANUAL

Version 1.2

XEROX PRIVATE DATA

34

ATTACHMENT V

Note: 41 page document provided separately

SDK SCANNING SERVICES

SCAN TO FILE DEVELOPER’S GUIDE

Version 1.22

XEROX PRIVATE DATA

35

ATTACHMENT VI

Change Control Procedure

This section provides an overview of the process used to communicate and track
software program changes issued by Xerox throughout the term of this Agreement.
Any modification to these procedures must be defined and mutually agreed upon
in writing by both parties prior to implementation.

XEROX INTERNAL PROCESS:

	1.	 	A Change Request (CR) shall be the vehicle for communicating changes.
The CR describes the software program change in as much technical detail
as is reasonably required by the other party, the rational for the change,
and the impact the change is expected to have on both Seller’s and Buyer’s
Products. The CR originates from either party and is submitted to the
designated program manager via email for review and dispositioning.
	 
	2.	 	The designated program manager of the requesting party will review the
proposed CR and determine whether to submit the CR to the other party.
The program manager shall disposition each CR, in writing, within fifteen
(15) business days of receipt. Such disposition shall be reliably
communicated to the appropriate technical manager.

XEROX/SCANSOFT PROCESS:

	3.	 	The Program Manager of the requesting party shall submit each approved CR
to the other party’s designated Program Manager via email within two (2)
business days of approving the CR.
	 
	4.	 	Both Program Managers, Seller and Buyer, will jointly review the proposed
CR and authorize it for further investigation, immediate implementation,
or reject it. If investigation or implementation is authorized, the
Program Managers will sign the CR, which will constitute authorization for
the subject software program changes. The Program Managers shall mutually
agree upon whether the CR constitutes a software Update or an Upgrade.
Such designation (Update / Upgrade) shall be documented on the CR. The
Program Managers shall ensure that each CR is statused within thirty (30)
business days of the date the CR is submitted by the requesting party.
The original signed CR will be returned to the requesting party’s
technical manager. Each party’s Program Manager shall maintain a copy of
the signed CR for reference purposes.
	 
	5.	 	Each software program executed CR deemed an Upgrade shall be defined by a
written agreement, labeled as an Addendum, contain the following
information, referring specifically to this Agreement, plus other
information pertaining to the CR:

	 	1.	 	Development schedule (include acceptance criteria and
acceptance test procedures)
	 
	 	2.	 	Fees (if any)

	 	 	Any such Addendum shall be mutually agreed upon in writing and signed by
both parties.

36

ScanSoft-Xerox Gold Disk Bundling Agreement

Amendment No. 1

Dated: January 01, 2000 (“Effective Date”)

This Amendment is entered into as of the Effective Date amending the ScanSoft –
Xerox Gold Disk Bundling Agreement dated September 30, 1999 (“Agreement”)
between Xerox Corporation, with offices at 200 Canal View, Rochester, NY 14623
(“Xerox”) and ScanSoft, Inc., with offices located at 9 Centennial Drive,
Peabody, MA 01960 (“ScanSoft”) as agreed in writing to be bound by the terms
and conditions hereof.

I.     Amendments

The Agreement is hereby modified as follows:

	1.	 	Revise Article I — DEFINITIONS as follows:

     The following new Paragraphs are added:

	 	“1.8	 	“Document Centre Image Retriever” shall mean the link agent
software as described in the Agreement.
	 
	 	1.9	 	“Bundled” shall mean the integrated system consisting of
certain Software specified in Attachment I combined with certain
Xerox Products described in Attachment II. The integration may occur
at the time of distribution of such Xerox Product or at later date.
	 
	 	1.10	 	“Embedded” shall mean the integration of certain Software
specified in Attachment I with certain Xerox Products described in
Attachment VII. The integration will occur prior to the distribution
of such Xerox Product.”

     The following Paragraph is revised and replaced as follows:

	 	“1.4	 	“Xerox Products” shall mean the products described in
Attachment II or the products described in Attachment VII.”

	2.	 	Replace Paragraphs 2.1 and 2.2 as follows:

	 	“2.1	 	Gold Disk. ScanSoft shall provide to Xerox a master copy of the
Software, including Documentation on disk (the “Gold Disk”). A Gold
Disk (English and French), including Documentation, shall be delivered
by ScanSoft to Xerox on or about February 11, 2000 including TextBridge
Pro 9.x Business Edition, PaperPort Deluxe 6.x, Document Centre Image
Retriever, and Installer software and associated Documentation. A
subsequent Gold Disk (English, French, Italian, Spanish, German, and
Brazilian Portuguese) including TextBridge Pro 9.x Business Edition,
PaperPort Deluxe 6.x, Document Centre Image Retriever, and Installer
software and associated Documentation shall be delivered by ScanSoft to
Xerox on or about March 26, 2000. ScanSoft shall insure references to
the link agent software are updated to Document Centre Image Retriever.
Licensing of such Software shall be pursuant to the terms of Section
6.0.
	 
	 	(i)	 	Within a mutually agreed timeframe of ScanSoft’s deployment
of PaperPort Deluxe 7.x to retail markets, ScanSoft shall deliver to
Xerox an updated Gold Disk (English and French), including
Documentation, with PaperPort Deluxe 7.x Software. A subsequent Gold
Disk (English, French, Italian, Spanish, German, and Brazilian
Portuguese) including PaperPort Deluxe 7.x, and associated
Documentation shall be delivered by ScanSoft to Xerox within a time
frame mutually agreed by the parties. Licensing of such Software
shall be pursuant to Section 6.0.
	 
	 	(ii)	 	An additional Gold Disk (English and French), including
Documentation, shall be delivered by ScanSoft to Xerox on or about
February 11, 2000 including TextBridge Pro 9.x and associated
Documentation. A subsequent Gold Disk (English, French, Italian,
Spanish, German, and Brazilian Portuguese) including TextBridge Pro
9.x and associated Documentation shall be delivered by ScanSoft to
Xerox on or about March 26, 2000. Licensing of such Software shall be
pursuant to Section 6.0.

37

	 	2.2	 	End User/ScanSoft Agreements. In the event that an end user requires
additional licenses beyond the 25 or 50 user licenses described in
Attachment I, Xerox may provide the end user with additional licenses
which shall be distributed in
blocks of 25 at the royalty rates shown in Attachment I. In the event
that an end user requires more than 300 licenses, the parties agree to
negotiate in good faith a separate agreement and special pricing terms.
In the event that an end user requires additional user licenses in
increments other than 25 (i.e. 26-49 user licenses, 51-99 user licenses
etc.), the end user shall seek such licenses directly from ScanSoft.
Xerox need not be a party to such additional licenses and shall have no
liability or responsibility therefor. Xerox shall have no liability if
end users exceed the number of users for which they have purchased
licenses.”

	3.	 	Revise Section 4.0 — Support and Documentation by adding the following
new paragraph:

	 	“4.6	 	In addition to training previously provided, ScanSoft agrees to
offer the training as described in Paragraph 4.4 above for Software
items 6-10 in Attachment I.”

	4.	 	Add and incorporate Attachment VII to the Agreement as attached hereto.
	 
	5.	 	Revise Paragraph 6.1 and 6.2 as follows:

	 	“6.1	 	License Grant. ScanSoft hereby grants to Xerox and Xerox
Affiliates, under ScanSoft’s applicable patents, copyrights, and other
intellectual property rights, a nonexclusive, worldwide right and
license to use, market, maintain, reproduce (in any medium including
firmware), distribute (acting directly or indirectly through their
authorized agents, resellers and concessionaires), prepare, display,
lease, and sub-license the Software including Updates, and
Documentation (i) Bundled for use with the Xerox Products described in
Attachment II, and (ii) Embedded in the Xerox Products described in
Attachment VII. ScanSoft grants to Xerox and Xerox Affiliates the
royalty-free right and license to reproduce, distribute (acting
directly or indirectly through their authorized agents, resellers and
concessionaires) all or any part of such Documentation and materials.
ScanSoft further grants Xerox the right to create and/or modify any or
all parts of Documentation and such materials, and Xerox shall own the
copyrights for any such modified or created versions of such
Documentation and materials.
	 
	 	6.2	 	Each copy of the Software Bundled with Xerox Products shall be
distributed with (1) end user documentation and (2) an end user license
agreement.”

	6.	 	Attachment IV to the Agreement is amended by adding the attached
Metropolis Deluxe Functional Specification as Attachment IVa.
	 
	7.	 	Attachment I to the Agreement is deleted in its entirety and replaced
with the Attachment I to this Amendment No. 1.
	 
	8.	 	ScanSoft acknowledges that Xerox is the owner of all rights, title and
interest in and to the Document Centre® and the Document Centre Image
Retriever TM trademarks; the several United States Patent and Trademark
Office and foreign registrations and applications therefor; and the
goodwill associated therewith. ScanSoft shall not claim any rights of
ownership with respect to the symbols, brands, or trademarks of Xerox.
During the term of this Agreement, Xerox shall permit ScanSoft to use the
Document Centre Image Retriever TM trademark solely in connection with the
license of its Document Center Image Retriever software product, listed in
Attachment I, to Xerox, and for no other purpose.. ScanSoft shall apply
said Trademark only to the Document Center Image Retriever software
product as described in the Agreement, as amended, and the packaging
thereof, if any. Xerox may request in writing, at any time, that a
trademark notice acceptable to Xerox be used in relation to the sale of
the Document Center Image Retriever software product and ScanSoft shall
comply with Xerox’ reasonable requirements regarding design, layout,
format, and trademark attribution. ScanSoft shall provide to Xerox, for
Xerox’ approval, samples of all literature, packages, labels and labeling
containing said Trademark prior to use. ScanSoft agrees that any and all
rights that may be acquired by the use of said Trademark shall inure to
the sole benefit of Xerox. The benefit granted herein shall be personal to
ScanSoft. ScanSoft agrees to abide by the terms set forth herein and
further agrees it shall not use said Trademark or any other Xerox owned
trademark (excluding any and all marks previously assigned by Xerox to
ScanSoft which are currently registered in Xerox’ name with the United
States Patent and Trademark office) with or for any third party, without
the prior written consent of Xerox.

38

	9.	 	Except as set forth herein, the terms and conditions of the Agreement
shall remain in full force and effect.

     IN WITNESS WHEREOF, the parties have executed this Amendment No. 1 on
the dates shown below.

	 	 	 	 	 	 	 
	SCANSOFT, INC.	 	XEROX CORPORATION
	 
	 
	By:	 	
 /s/ Michael K. Tivnan          
	 	By:
	 	 /s/ Anne Mulcahy               
	 
	Name:	 	
 Michael K. Tivnan                
	 	Name:
	 	 Anne Mulcahy                    
	 
	Title:	 	
 President                                
	 	Title:
	 	 President, GMD                   
	 
	Date:	 	
 February 11, 2000                  
	 	Date:
	 	                                               
	 
	Address:	 	
9 Centennial Drive                

Peabody, MA  01960             

USA                                        

	 	Address:
	 	200 Canal View                    

Rochester, NY 14623          

USA                                      
	 
	Phone:	 	
978-977-2000                          
	 	Phone:
	 	716-231-4915                        
	 
	Fax:	 	
978-977-2425                          
	 	Fax:
	 	716-231-0304                        

39

ATTACHMENT I

ScanSoft products 1-11 shall be collectively referred to as Software.

	 	 	 	 	 	 	 	 	 	 	 	 	 
	

	ITEM	 	ScanSoft Product	 	Royalty
	

	 	 	 	 	 	 	25 User Licenses	 	50 User Licenses
	

	 	1	 	 	TextBridge Pro 8.x

Bundled User Licenses:

	 	$	87.50	 	 	$	175.00	 
	 	 	 	 	   Bundled Server Licenses:

(1 Server License per 25 User Licenses)
	 	$	0	 	 	$	0	 
	
	
	
	

	

	
	
	
	

	 	2	 	 	PaperPort LE 6.x

Bundled User Licenses:
	 	$	50.00	 	 	$	100.00	 
	
	
	
	

	

	
	
	
	

	 	3	 	 	Document Centre Image Retriever

	 	Unlimited royalty	 	Unlimited royalty
	 	 	 	 	(ref. Attachment IV Standard Edition, section 5.0)
	 	free licenses	 	free licenses
	
	
	
	

	

	
	
	
	

	 	4	 	 	Installer

	 	Unlimited royalty	 	Unlimited royalty
	 	 	 	 	(ref. Attachment IV Standard Edition, section 5.0)
	 	free licenses	 	free licenses
	
	
	
	

	

	 	 	 	 	Bundled standard kit: Items 1-4
	 	$	137.50	1	 	$	275.00	1
	
	
	
	

	

	
	
	
	

	 	5	 	 	Upgrade from TextBridge 98 to TextBridge Pro 8.x 25

Bundled User Licenses and 1Bundled Server License:

	 	See Below3	 	 	 	 
	 	 	 	 	Upgrade from PaperPort 4.04 to PaperPort LE 6.x

25 Bundled User Licenses
	 	 	 	 	 	 	 	 
	
	
	
	

	

	
	
	
	

	 	 	 	 	Bundled standard upgrade kit: Items 3-5
	 	See Below3	 	 	 	 
	
	
	
	

	

	 	6	 	 	TextBridge Pro 9.x Business Edition

Bundled User Licenses:
	 	$	325.00	 	 	 	 	 
	 	 	 	 	   Bundled Server Licenses:

(1 Server License per 25 User Licenses)
	 	$	0	 	 	 	 	 
	
	
	
	

	

	 	7	 	 	PaperPort Deluxe 6.x/7.x

Bundled User Licenses:
	 	$	100.00	 	 	 	 	 
	
	
	
	

	

	 	8	 	 	Document Centre Image Retriever

	 	Unlimited royalty	 	 	 	 
	 	 	 	 	(ref. Attachment IVa Deluxe Edition, section 4.0)
	 	free licenses	 	 	 	 
	
	
	
	

	

	 	9	 	 	Installer

	 	Unlimited royalty	 	 	 	 
	 	 	 	 	(ref. Attachment IVa Deluxe Edition, section 5.0)
	 	free licenses	 	 	 	 
	
	
	
	

	

	 	 	 	 	Bundled deluxe kit: Items 6-9
	 	$	425.00	2	 	 	 	 
	
	
	
	

	

	 	10	 	 	Upgrade from Bundled standard kit (Items 1-4) to
Bundled deluxe kit (Items 6-9)	 	$	810.00	 	 	 	 	 
	
	
	
	

	

	 	 	 	 	Bundled deluxe upgrade kit: Items 8-10
	 	$	810.00	2	 	 	 	 
	
	
	
	

	

	 	11	 	 	TextBridge Pro 9.x
	 	$	50.00	 	 	 	 	 
	 	 	 	 	   Embedded Server Licenses:
	 	(Embedded server	 	 	 	 
	 	 	 	 	 
	 	license only, no	 	 	 	 
	 	 	 	 	 
	 	user licenses)	 	 	 	 
	
	
	
	

	

	 	 	1. The Individual User License Royalty for Software items 1 and 2 shall be
reduced to $3.00 and $1.50 respectively after Xerox has paid a total of
$1,375,000.00 in royalties and fees under this Agreement.
	
	
	
	

	 	 	2. The Individual User License Royalty for Software items 6 and 7 above shall
be reduced to $11.00 and $4.00 respectively and the Individual User License
Royalty for Software item 10 above shall be reduced to $29.80 after Xerox has
paid a total of $1,275,000.00 in royalties and fees under this Amendment No. 1.
	
	
	
	

	 	 	3. The royalty for item number five above shall be a flat fee of $75,000.00,
which was previously paid by Xerox under the Agreement.

40

License Fee

Xerox previously paid ScanSoft a one-time non-refundable license fee of
$619,000.00, under the Agreement.

Royalty Calculation

Class A Xerox Products are the Xerox Products described in Attachment II which
are marketed at 20-40 pages per minute. Class B Xerox Products are the Xerox
Products described in Attachment II which are marketed at 40+ pages per minute.
For royalty calculation purposes, Xerox geographies are defined as United
States (US), Xerox Canada, Inc. (XCI), Xerox Business Services (XBS), European
Sales Group (ESG), and Developing Markets Organization (DMO).

	 	 	Bundled Standard Kit (items 1-4 above):

Beginning January 1, 2000 Xerox shall pay the applicable royalty for the
actual net number of the revenue bearing installations of Software
licensed to third parties which shall be calculated by subtracting the
number of units of Software returned (returns not to include off lease,
off rent, and upgrades) by third parties in conjunction with the return of
a unit of the Xerox Product from the total number of units of Software
licensed to a third party during such period. Royalties accrue upon
complete installation of the revenue bearing Software at a customer’s
site. If Xerox can not report the actual number of units of revenue
bearing Software licensed to third parties in a particular geography,
Xerox shall pay the applicable royalty for 35% of the revenue bearing
installations of Class A Xerox Products, and for 15% of the revenue
bearing installations of Class B Xerox Products in the particular
geography. For purposes of this calculation, installation of each Class A
and Class B Xerox Product shall correspond to 25 and 50 individual user
licenses of Software items 1-4, respectively.
	 
	 	 	Bundled Deluxe Kit (items 6-9 above):

As of the Effective Date of this Amendment, Xerox shall pay the applicable
royalty for the actual net number of the revenue bearing installations of
Software licensed to third parties which shall be calculated by
subtracting the number of units of Software returned (returns not to
include off lease, off rent, and upgrades) by third parties in conjunction
with the return of a unit of the Xerox Product from the total number of
units of Software licensed to a third party during such period. Royalties
accrue upon complete installation of the revenue bearing Software at a
customer’s site. If Xerox can not report the actual number of units of
revenue bearing Software licensed to third parties in a particular
geography, Xerox shall pay the applicable royalty for 101% of the US
penetration rate of the revenue bearing installations as calculated for
Xerox Products, including both Class A and Class B Xerox Product. This
percentage shall be reviewed and agreed by the parties on or about April
2001, with any change effective June 01, 2001. For purposes of this
calculation, “US penetration rate” shall mean the total net number of
revenue bearing Software units licensed to third parties by Xerox and
divided by the total net number of revenue bearing installations of Xerox
Product in the US, including both Class A and Class B Xerox Product. For
purposes of this calculation, installation of each Class A and Class B
Xerox Product shall correspond to 25 individual user licenses of Software
items 6-9, respectively.
	 
	 	 	Bundled Deluxe Upgrade Kit (item 10 above):

As of the Effective Date of this Amendment, Xerox shall pay the applicable
royalty for the actual net number of the revenue bearing installations of
Software licensed to third parties which shall be calculated by
subtracting the number of units of Software returned (returns not to
include off lease, off rent, and upgrades) by third parties in conjunction
with the return of a unit of the Xerox Product from the total number of
units of Software licensed to a third party during such period. Royalties
accrue upon complete installation of the revenue bearing Software at a
customer’s site. If Xerox can not report the actual number of units of
revenue bearing Software licensed to third parties in a particular
geography, Xerox shall pay the applicable royalty for 101% of the US
penetration rate of the revenue bearing installations as calculated for
Xerox Products, including both Class A and Class B Xerox Product. This
percentage shall be reviewed and agreed by the parties on or about April
2001, with any change effective June 01, 2001. For purposes of this
calculation, “US penetration rate” shall mean the total net number of
revenue bearing Software units licensed to third parties by Xerox and
divided by the total net number of revenue bearing installations of Xerox
Product in the US, including both Class A and Class B Xerox Product. For
purposes of this calculation, installation of each Class A and Class B
Xerox Product shall correspond to 25 individual user licenses of Software
item 10.
	 
	 	 	Embedded TextBridge Pro 9.x Server License for Flowport (item 11 above):

As of the Effective Date of this Amendment, Xerox shall pay the applicable
royalty for the actual net number of the revenue bearing installations of
Software licensed to third parties which shall be calculated by
subtracting the number of units of

41

	 	 	Software returned (returns not to
include off lease, off rent, and upgrades) by third parties in conjunction
with the return of a unit of the Xerox Flowport solution from the total
number of units of Software licensed to a third party during such period.
Royalties accrue upon complete installation of the revenue bearing Xerox
Product, as described in Attachment VII, at a customer’s site.

Prior Agreements

Effective October 1, 1999, the royalty rate, calculation, and payment for the
Bundled Solution License Fee for TextBridge Pro ‘98, as agreed between the
parties in the prior agreement executed on or about March 25, 1998, reference
article 3.0 was superceded and nullified by this Agreement. Also, effective
October 1, 1999, the royalty rate, calculation, and payment for Visioneer
PaperPort 4.04 software, as agreed between Visioneer, Inc. and Xerox
Corporation executed on or about November 15, 1996, reference article 6.0, for
which ScanSoft assumed all rights and liabilities on March 2, 1999, was
superceded and nullified by this Agreement.

The royalties listed above are based on the following ScanSoft product pricing:

	 	 	 	 	 	 	 	 	 	 
	

	ScanSoft Product	 	Price per Individual User License	 	Price per Server License	 
	

	TextBridge Pro 8.x
	 	$3.50	 	No Charge	 
	
	
	
	

	PaperPort LE 6.x
	 	$2.00	 	No Charge	 
	
	
	
	

	Document Centre Image Retriever
	 	No Charge	 	No Charge	 
	
	
	
	

	Installer
	 	No Charge	 	No Charge	 
	
	
	
	

	TextBridge Pro 9.x Business Edition
	 	$13.00	 	No Charge	 
	
	
	
	

	PaperPort Deluxe 6.x/7.x
	 	$4.00	 	No Charge	 
	
	
	
	

	Bundled Deluxe Upgrade Kit
	 	$32.40	 	No Charge	 
	
	
	
	

	TextBridge Pro 9.x for Flowport
	 	N/A	 	$50.00	 
	

42<PAGE>   1
                                                                     EXHIBIT 4.1

                              AMENDED AND RESTATED

                            ARTICLES OF INCORPORATION

                                       OF

                           PENWEST PHARMACEUTICALS CO.

        Pursuant to RCW 23B.10.070 of the Washington Business Corporation Act,
Edward Mendell Co., Inc., a Washington corporation, hereby amends and restates
its Articles of Incorporation as follows:

                                 ARTICLE 1. NAME

        The name of the corporation is Penwest Pharmaceuticals Co.

                               ARTICLE 2. PURPOSE

        The purpose of the corporation is to engage in any business, trade or
activity which may lawfully be conducted by a corporation organized under the
Washington Business Corporation Act.

                     ARTICLE 3. REGISTERED OFFICE AND AGENT

        The address of the registered office of the corporation is Two Union
Square, 601 Union Street, Seattle, Washington 98101, and the name of its
registered agent is Bogle & Co.

                                ARTICLE 4. SHARES

        The total number of shares of stock which the corporation has authority
to issue is 40,000,000 shares, consisting of 39,000,000 shares of common stock,
par value $0.001 per share, and 1,000,000 shares of preferred stock, par value
$0.001 per share.

        The preferred stock may be issued from time to time in one or more
series in any manner permitted by law and these Restated Articles of
Incorporation, as determined from time to time by the Board of Directors and
stated in the resolution or resolutions providing for the issuance thereof,
prior to the issuance of any shares thereof. The Board of Directors shall have
the authority to fix and determine and to amend, subject to the provisions
hereof, the designations, preferences, limitations and relative rights of the
shares of any series that is wholly unissued or to be established. Unless
otherwise provided in the resolution establishing any series, the Board of
Directors shall have the authority, after the issuance of shares of a series
whose number it has designated, to amend the resolution establishing such series
to decrease the number of shares of that series, but not below the number of
shares of such series then outstanding.

<PAGE>   2

                          ARTICLE 5. PREEMPTIVE RIGHTS

        No preemptive rights shall exist with respect to shares of stock or
securities convertible into shares of stock of the corporation.

                          ARTICLE 6. CUMULATIVE VOTING

        The right to cumulate votes in the election of directors shall not exist
with respect to shares of stock of the corporation.

                               ARTICLE 7. DURATION

        The period of the corporation's duration shall be perpetual.

                              ARTICLE 8. DIRECTORS

        The directors shall be divided into three classes, designated Class I,
Class II and Class III. Initially, Class I directors shall be elected for a term
ending at the first annual meeting of shareholders after their election, Class
II directors shall be elected for a term ending at the second annual meeting of
shareholders after their election, and Class III directors shall be elected for
a term ending at the third annual meeting of shareholders after their election.
At each annual meeting of shareholders thereafter, successors to the class of
directors whose term expires at that annual meeting shall be elected to serve
until the third succeeding annual meeting of shareholders. If the number of
directors is changed in the manner provided by the Bylaws, any increase or
decrease shall be apportioned among the classes so that the number of directors
in each class is as nearly equal as possible. A director shall hold office until
the annual meeting of shareholders at which such director's term expires and
until such director's successor shall be elected and shall qualify, subject,
however, to prior death, resignation, retirement, disqualification or removal
from office. Vacancies on the Board of Directors, including vacancies resulting
from an increase in the number of directors, may be filled only by the
affirmative vote of a majority of all the directors then in office (although
less than a quorum) or by the sole remaining director. The term of a director
elected to fill a vacancy shall expire at the next shareholders' meeting at
which directors are elected.

        A director may be removed only for cause by affirmative vote of the
holders of not less than two-thirds of the shares entitled to vote in the
election of such director.

                                ARTICLE 9. BYLAWS

        The Board of Directors shall have the power to adopt, amend or repeal
the Bylaws of the corporation. The shareholders shall also have the power to
adopt, amend or repeal the Bylaws of the corporation upon the affirmative vote
of the holders of not less than two-thirds of the shares entitled to vote
thereon.

                                       -2-

<PAGE>   3

               ARTICLE 10. AMENDMENTS TO ARTICLES OF INCORPORATION

        The corporation reserves the right to amend or repeal these Restated
Articles of Incorporation in any manner permitted by law, and the rights of the
shareholders herein are granted subject to this reservation. Notwithstanding the
foregoing, the provisions set forth in Articles 6, 8, 9, 10, 12 and 13 may be
amended or repealed only upon the affirmative vote of the holders of not less
than two-thirds of the shares entitled to vote thereon.

                  ARTICLE 11. LIMITATION OF DIRECTOR LIABILITY

        To the fullest extent permitted by the Washington Business Corporation
Act as the same exists or may hereafter be amended, a director of the
corporation shall not be liable to the corporation or its shareholders for
monetary damages for conduct as a director. Any amendment to or repeal of this
Article 11 shall not adversely affect any right or protection of a director for
or with respect to any acts or omissions of such director occurring prior to
such amendment or repeal.

                   ARTICLE 12. SPECIAL SHAREHOLDERS' MEETINGS

        If the corporation is not a "Public Company" (as hereinafter defined),
then special meetings of the shareholders may be called at any time by the Board
of Directors, the Chairman of the Board of Directors or the President of the
corporation or by the holders of at least 25% of all the votes entitled to be
cast on any issue proposed to be considered at such special meeting in
accordance with RCW 23B.07.020. If the corporation is a Public Company, then
special meetings of the shareholders may be called by the Board of Directors,
the Chairman of the Board of Directors or the President of the corporation and
may not be called by any other person. "Public Company" means a corporation that
has a class of equity securities registered with the Securities and Exchange
Commission pursuant to Section 12 or 15 of the Securities Exchange Act of 1934,
as amended.

                     ARTICLE 13. SPECIAL VOTING REQUIREMENTS

        In addition to any affirmative vote required by law, by these Restated
Articles of Incorporation or otherwise, any "Business Combination" (as
hereinafter defined) involving the corporation shall be subject to approval in
the manner set forth in this Article 13.

        Section 13.1. DEFINITIONS. For the purposes of this Article:

                13.1.1. "Business Combination" means (i) a merger, share
exchange or consolidation of the corporation or any of its Subsidiaries with any
other corporation; (ii) the sale, lease, exchange, mortgage, pledge, transfer or
other disposition or encumbrance, whether in one transaction or a series of
transactions, by the corporation or any of its Subsidiaries of all or a
substantial part of the corporation's assets otherwise than in the usual and
regular

                                       -3-

<PAGE>   4

course of business; or (iii) any agreement, contract or other arrangement
providing for any of the foregoing transactions.

                13.1.2. "Continuing Director" means any member of the Board of
Directors who was a member of the Board of Directors on October 1, 1997 or who
is elected to the Board of Directors after October 1, 1997 upon the
recommendation of a majority of the Continuing Directors voting separately and
as a subclass of directors on such recommendation.

                13.1.3. "Subsidiary" means a corporation, a majority of the
outstanding voting shares of which are owned, directly or indirectly, by the
corporation.

        Section 13.2. VOTE REQUIRED FOR BUSINESS COMBINATIONS.

                13.2.1. SUPERMAJORITY VOTE. Except as provided in subsections
13.2.2 and 13.2.3 hereof, the affirmative vote of the holders of not less than
two-thirds of the outstanding shares entitled to vote thereon and, to the
extent, if any, provided by resolution adopted by the Board of Directors
authorizing the issuance of a class or series of common stock or preferred
stock, the affirmative vote of the holders of not less than two-thirds of the
outstanding shares of such class or series, voting as a separate voting group,
shall be required for the adoption or authorization of a Business Combination.

                13.2.2. MAJORITY VOTE. Notwithstanding subsection 13.2.1 hereof,
if a Business Combination shall have been approved by a majority of the
Continuing Directors, voting separately and as a subclass of directors, and if
such Business Combination is otherwise required to be approved by the
corporation's shareholders pursuant to the Washington Business Corporation Act,
then the affirmative vote of the holders of not less than a majority of the
outstanding shares entitled to vote thereon and, to the extent, if any, provided
by resolution adopted by the Board of Directors authorizing the issuance of a
class or series of common stock or preferred stock, the affirmative vote of the
holders of not less than a majority of the outstanding shares of such class or
series, voting as a separate voting group, shall be required for the adoption or
authorization of such Business Combination.

                13.2.3. NO SHAREHOLDER VOTE. Notwithstanding subsection 13.2.1
or 13.2.2 hereof, if a Business Combination shall have been approved by a
majority of the Continuing Directors, voting separately and as a subclass of
directors, and if such Business Corporation is not otherwise required to be
approved by the corporation's shareholders pursuant to the Washington Business
Corporation Act, then no vote of the shareholders of the corporation shall be
required for approval of such Business Combination.

                                       -4-

<PAGE>   5

                            ARTICLES OF AMENDMENT
                                      OF
                         PENWEST PHARMACEUTICALS CO.

        Pursuant to RCW 23B.10.060, the undersigned corporation adopts the
following Articles of Amendment to its Amended and Restated Articles of
Incorporation (the "Articles of Incorporation"):

        FIRST:  The name of the corporation is Penwest Pharmaceuticals Co. (the
"Corporation").

        SECOND: The Articles of Incorporation are hereby amended as follows:

             1. ARTICLE 4 is hereby amended by replacing the first paragraph
thereof with the following paragraphs:

                "Upon June 19, 1998, which is the date the Articles of Amendment
                effecting this provision were filed with the Secretary of State
                of Washington (the "Effective Date"), a 0.76-for-1 reverse
                stock split of the Corporation's common stock shall become
                effective, pursuant to which each 100 shares of common stock
                outstanding and held of record by each shareholder of the
                Corporation immediately prior to the Effective Date, shall,
                upon the Effective Date, automatically and without any further
                action by the Corporation or the holder of any such shares, be
                reclassified and combined into 76 shares of common stock.

                After giving effect to the foregoing reverse stock split, the
                total number of shares of all classes of stock which the
                Corporation shall have the authority to issue is 40,000,000
                shares, consisting of 39,000,000 shares of common stock, par
                value $0.001 per share, and 1,000,000 shares of preferred
                stock, par value $0.001 per share."

        THIRD:  The Amendment provides for a reverse stock split of shares of
the Corporation's common stock, and the provisions for implementing the
amendment are as follows: each 100 shares shall automatically be reclassified
and combined into 76 shares of common stock, with the same per share par value
of $0.001. No fractional shares of common stock shall be issued as a result of
such reclassification and combination. In lieu of any fractional shares to
which the

<PAGE>   6

shareholders would otherwise be entitled, the Corporation shall pay cash equal
to such fraction multiplied by the then fair market value of the common stock
as determined by the Board of Directors of the Corporation.

        FOURTH:  The foregoing amendment was adopted by the Board of Directors
of the Corporation on June 10, 1998, without shareholder action.

        FIFTH and SIXTH: Pursuant to RCW 23B.10.020(4), shareholder action with
regard to the amendment of the Articles of Incorporation of the Corporation was
not required.

                                                PENWEST PHARMACEUTICALS CO.

Date: June 18, 1998                             By:  /s/ Tod R. Hamachek
     -------------------                            ---------------------
                                                Its: President and Chief
                                                     Executive Officer
                                                    ---------------------

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