Exhibit 2
2017 Edition
The Open Group
Standards Process for the SOSA™ Consortium The Open Group Standards Process
Prepared by Andrew Josey, Director, Standards
Copyright © 1996-2017, The Open Group All rights reserved. No part of this publication maybe reproduced, stored in a retrieval system, or transmitted, in any form or by any means, electronic, mechanical, photocopying, recording or otherwise, without the prior permission of the copyright owners.
The Open Group Standards Process.
Any comments relating to the material contained in this document may be submitted to:
ogspecs@opengroup.org 1. Introduction
2. Definitions and Glossary
3. The Standards Development Process
4. The Certification Development Process
5. Confidentiality
6. Standards Adoption Criteria
7. Patent Policy
8. Liaisons
9. Invited Guests and Invited Experts
About The Open Group
The Open Group is a global consortium that enables the achievement of business objectives through IT standards. With more than 400 member organizations, The Open Group has a diverse membership that spans all sectors of the IT community customers, systems and solutions suppliers, tool vendors, integrators, and consultants, as well as academics and researchers – to:
• Capture, understand, and address current and emerging requirements, and establish policies and share best practices
• Facilitate interoperability, develop consensus, and evolve and integrate specifications and open source technologies
• Offer a comprehensive set of services to enhance the operational efficiency of consortia
• Operate the industry’s premier certification service
Further information on The Open Group is available at www.opengroup.org.
The Open Group publishes a wide range of technical documentation, most of which is focused on development of Open Group Standards and Guides, but which also includes white papers, technical studies, certification and testing documentation, and business titles. Full details and a catalog are available at www.opengroup.org/bookstore. Abstract
The Open Group Standards Process defines the procedures for key tasks within The Open Group Standards development activities. It explains how The Open Group Standards Process operates. 1. Introduction
Summary This section provides an introduction to The Open Group Standards Process describing its purpose and the principles upon which it is founded.
1.1 Purpose
The Open Group Standards Process defines the procedures for key tasks within The Open Group Standards development activities. The objectives of having documented and observed procedures are:
1. To explain how The Open Group Standards Process operates
2. To record how complex tasks involving different groups may be executed in an effective and repeatable manner
3. To ensure the quality of Open Group Standards deliverables
4. To ensure that The Open Group complies with legal constraints on the operation of consortia
1.2 Principles
The Open Group Standards Process is founded on the following principles:
1.2.1 Principle #1 Name: Openness
Statement:
• Standards are developed in an open process.
Rationale:
• Openness is a basic part of The Open Group raison d'être (embedded in the name). The Open Group must be seen to be open.
• Openness is a key part of the value proposition to members of The Open Group. Our standards are competing in the market with vendor-specific standards; the openness of the process that produces them is a key part of the value of our standards to the market, and to the members who join us in order to help develop them.
Implications:
• The process must not only be open, but seen to be open.
• Openness implies effective communication with and between all relevant parties.
• Openness should be applied throughout the standards development process, not just in the final Company Review.
• Openness implies that any member is eligible to participate in any Forum, Work Group, or Project, and stand for election to any office (e.g., Chair, Vice-Chair) of any such group of members, and stand for election to represent the membership at the Governing Board, limited only by entitlements associated with their membership type and status.
• All standards published by The Open Group must be copyright of The Open Group.
Name: Consensus
Statement:
• Standards are based upon the consensus of the parties involved.
Rationale:
• Industry consensus is critical to the adoption of standards. The objective is to reach stable decisions.
Implications:
• The standard is supported by a consensus of members of the Forum/Work Group.
• Decisions are not strongly opposed by a sufficient subset of the members to cause them to be revisited.
• Unanimity is not a requirement for consensus.
• Silence is not interpreted as agreement.
• Significant objections are taken into account, and responded to.
1.2.3 Principle #3 Name: Timely and Deterministic Process Statement:
• Standards are developed using a deterministic process that delivers standards in a predictable and timely manner.
Rationale:
• There is a continuum of standards in any industry: de jure, industry consensus, and vendor-specific or commercial. The Open Group uses an industry consensus-based approach in developing standards. While consensus standards cannot be produced as rapidly as those of a single vendor, they do have to be produced at an acceptable pace to have value in the market, and have to be substantially faster and more deterministic in getting to market than de jure standards, which often have other drivers underlying them, such as health, safety, or national interests.
Implications:
• Determinism is a means to the end of timeliness, not an end in itself. • The inability of many de jure standards efforts to deliver effective standards in a timely manner means that we should distinguish ourselves from those de jure bodies in the market.
• We should be prepared for an activity to be stopped or re-constituted if it does not reach consensus in a timely manner.
1.2.4 Principle #4
Name: Public Availability of Published Standards Statement:
• Standards once published are made publicly available. Rationale:
• Standards only have value if they are widely adopted in the market.
• A key part of the overall value proposition for Open Group members is the widespread adoption of their deliverables.
Implications:
• Standards should be available to all (members and non-members).
• The Open Group should publicize the fact that a standard is publicly available.
1.2.5 Principle #5 Name: No Legal Impediment to Implementation or Adoption Statement:
• There must be no legal impediment to implementation or adoption of an Open Group Standard.
Rationale:
• Legal impediments could prove to be a significant barrier to the widespread adoption of the standard.
Implications:
• The Open Group must have copyright to the standard, and any patents must be licensed by their owners on a royalty-free, reasonable and non-discriminatory basis.
• Contributors must disclose relevant patents.
1.2.6 Principle #6 Name: Confidentiality Statement: • Material is kept confidential until published by The Open Group. Rationale:
• To protect member submissions and the IPR of The Open Group
• To promote open discussions Implications:
• The participants must be under obligations of confidentiality.
• Where information is shared throughout member companies, the obligations apply to all individuals.
• All documents in progress should be clearly marked. 2. Definitions and Glossary
Summary
This section provides the definitions and glossary for terminology used in The Open Group Standards Process. It is organized in terms of the human actors (participants), processes, documents, and tools used within the Standards Process.
Contents
2.1 Human Actors
2.2 Processes
2.3 Documents
2.4 Legal Agreements
2.5 Tools
2.1 Human Actors
2.1.1 Ballot Group
The group of member representatives designated to vote on the resolution of Change Requests during the Company Review Process.
2.1.2 External Entities
Independent bodies operating totally autonomously, but with whom The Open Group has a complementary liaison and/or working relationship. Deliverables from external organizations need to be approved through the formal Open Group Standards Process if they are to become Open Group Standards. Examples include ISO/IEC JTC1 and IEEE.
2.1.3 Facilitator
An individual responsible for running a meeting.
2.1.4 Forum/Work Group
A working body internal to The Open Group, operating with a significant degree of autonomy, as required to enable them to meet their objectives, and with a lifetime that spans many projects.
A Forum or Work Group provides a neutral platform for its members to meet others with similar issues and work together on the development and adoption of industry directives and standards.
Forums and Work Groups have a significant degree of autonomy, including the development of plans and approval of deliverables, within the underlying principles established for The Open Group as a whole.
A Forum or Work Group must have a Chair, elected by the members of the Forum or Work Group. An acceptable alternative is to have two or more Co-Chairs to share the role of Chair in rotation or based on availability.
A Forum or Work Group must use the Consensus Decision-Making Process for decision-making, and not other procedures (such as Roberts Rules of Order).
A Forum or Work Group must operate within the Charter of The Open Group, and be lawful.
Each Forum will have an Operating Charter.
2.1.5 Forum/Work Group Elected Officers – Chair, Co-Chair, Vice-Chair
The Elected Officers of a Forum/Work Group consist of the Chair, and/or Co-Chairs, and Vice-Chair(s). They are responsible for leadership of the Forum/Work Group including managing the work program, and convening and chairing meetings.
2.1.6 Governing Board
The Open Group Governing Board is responsible for overseeing the Standards Process within The Open Group.
2.1.7 Governing Board Members
The individuals who serve on The Open Group Governing Board, and who are responsible for the formal approval of specifications as Open Group Standards, and approval of the fundamental Standards Process and principles to which all working bodies must adhere for deliverables to carry The Open Group name.
2.1.8 Interested Parties
A third party who has an interest in the activities of The Open Group.
2.1.9 Invited Expert
A third party who has been invited to participate in an activity. See Section 9 of the Standards Process.
2.1.10 Invited Guest
A third party who has been invited to participate in an activity. See Section 9 of the Standards Process.
2.1.11 Liaison Manager
A person appointed to manage a liaison relationship between The Open Group and an External Entity. This is usually a member of staff of The Open Group. See Section 8 of the Standards Process.
2.1.12 Liaison Representative
A person appointed to manage a certain (sub-)aspect of a liaison relationship with an External Entity; for example, representing the consensus of a particular Forum or Work Group. This is usually an elected representative drawn from The Open Group membership. See Section 8 of the Standards Process.
2.1.13 Managed Consortia
A consortia hosted by The Open Group (i.e., formally constituted as part of The Open Group, and managed by The Open Group staff), but operating with a very high degree of autonomy. Deliverables from managed consortia need to be approved through the formal Open Group Standards Process if they are to become Open Group Standards.
2.1.14 Member (Organization)
An organization that has signed The Open Group Membership Agreement.
2.1.15 Member Representatives
An individual appointed by an Open Group member (organization) to represent them.
2.1.16 Recognized PAS Submitter
An organization recognized by ISO/IEC JTC1 as a submitter for transposition of Publicly Available Specifications (PAS) into International Standards.
2.1.17 Review Group
The individuals participating in a Company Review and providing review comments but not balloting on the document under review. This can include all Open Group members and interested parties.
2.1.18 Technical Editor
An individual responsible for preparing a document for publication.
2.1.19 The Open Group Certification Manager
An individual assigned to manage the development and introduction of a Certification Program.
2.1.20 The Open Group Director, Standards
The role of Director, Standards has overall responsibility for The Open Group Standards Process, and external liaisons.
2.1.21 The Open Group Executive Management
The President and CEO is the sole executive director of The Open Group. In the context of the Standards Process the term The Open Group Executive Management refers additionally to persons fulfilling the roles of Legal Counsel and VP Marketing.
2.1.22 The Open Group Manager/Forum Director
An individual assigned to manage a Forum or Work Group (often the role is referred to elsewhere as a Forum Director).
2.1.23 The Open Group Staff
An employee of The Open Group.
2.1.24 Third Party
A person or entity who is not involved directly in a relationship or activity with The Open Group as a member.
2.2 Processes
2.2.1 Approval Process
In the context of the Standards Development Process, this process includes the Governing Board Review and Approval of an Open Group Standard. See Section 3.2.3 of the Standards Process.
2.2.2 Change Request Process
The process by which requests to change a document under review are submitted, managed, and resolved. See Section 3.3.2 of the Standards Process.
2.2.3 Charter of The Open Group
The defined mission and vision for The Open Group as defined from time to time.
2.2.4 Company Review Process
The formal process by which The Open Group measures consensus around a specification in order that it may become an Open Group Standard. See Section 3.2.2 of the Standards Process.
2.2.5 Confidentiality
See Section 5 of the Standards Process.
2.2.6 Consensus
Consensus is defined as meaning both general agreement, and the process of getting to such agreement. Consensus decision-making is thus concerned primarily with that process. See Section 3.3.1 of the Standards Process.
2.2.7 Consensus Decision-Making
A decision-making process that not only seeks the agreement of most participants, but also resolves or mitigates the objections of the minority in order to achieve the most agreeable decision. See Section 3.3.1 of the Standards Process.
2.2.8 Copyright Transfer The assignment of copyright to The Open Group. For materials developed following the Core Process in a Forum or Work Group the assignment of copyright is automatically The Open Group and covered by the Membership Agreement. For materials developed under the Fast Track process the assignment of copyright occurs at completion of the approval of the standard.
2.2.9 Draft Development Process
Prior to the commencement of a Company Review, a draft document should be prepared by a Forum/Work Group using a document template. See Section 3.2.1 of the Standards Process.
2.2.10 Executive Management Review
A review by The Open Group Executive Management.
2.2.11 Fast Track
A variant of the Company Review Process that allows the introduction of a specification by a Sponsor under the claim that it is self-sufficient and fit-for-purpose, to be submitted directly into Company Review with the objective of becoming an Open Group Standard. See Section 3.3.5 of the Standards Process.
2.2.12 Forum/Work Group Meeting
A meeting of a Forum or Work Group. Meetings must be announced in advance:
At least four (4) weeks for face-to-face meetings One (1) week for teleconferences
2.2.13 Interpretations Process
A process to resolve issues raised against an Open Group Standard that impacts certification or accreditation. The process is defined in the applicable Certification or Accreditation Policy document.
2.2.14 ISO PAS Process
A process through which Open Group Standards can be submitted to ISO/IEC JTC1 for adoption as International Standards. See Section 3.3.6 of the Standards Process.
2.2.15 Liaison Process
See Section 8 of the Standards Process.
2.2.16 Member Meeting
A meeting which is open to members of The Open Group.
2.2.17 Publication and Launch
The marketing and publicity activities upon release of a new Open Group Standard or Certification Program.
2.2.18 Publication Process
The final stage within the Standards Development Process in which an internal review by The Open Group Executive Management occurs. Once that is complete, final publication of a standard occurs. See Section 3.2.4 of the Standards Process.
2.2.19 Recirculation Review
If the number of changes arising from a Company Review is large, The Open Group Manager, or one or more of the balloting members of the Review Group, may request that the revised document be circulated for a repeat review. See Section 3.2.2 of the Standards Process.
2.2.20 Sanity Review
A process taken upon completion of technical editing of an Open Group Standard. The final proof of the standard is made available to allow for confirmation that the technical integrity of the document has not been compromised during the editing process. See Section 3.2.2 of the Standards Process.
2.2.21 Standards Adoption Criteria
The Open Group stated requirements for adoption of a specification and inclusion in the Standards Information Base (SIB). See Section 6 of the Standards Process.
2.3 Documents
2.3.1 Business Scenario
A description of a business problem which enables requirements to be viewed in relation to one another in the context of the overall problem.
2.3.2 Certification Policy
A description of the way in which a Certification Program will operate. See Section 4.2 of the Standards Process.
2.3.3 Certification Register
One or more publicly accessible registers of certified and/or accredited products, individuals, or services registered under the terms of an Open Group Certification Program.
2.3.4 Conformance Statement
A Conformance Statement is a documented set of claims describing precisely the way in which a product, service, or individual meets a set of Conformance Requirements, including which optional features are supported, if applicable. It also provides a precise identification of the certified product, service, or individual. 2.3.5 Company Review Report
A document showing how comments and objections during a Company Review have been addressed, and including the outcome of other necessary reviews.
This document is prepared by The Open Group Manager and submitted to The Open Group Governing Board as part of the Approval Process. See Section 3.2.3 of the Standards Process.
2.3.6 Conformance Statement Questionnaire (CSQ)
A Conformance Statement Questionnaire is a template which, when completed, produces a Conformance Statement.
2.3.7 Document Template
An outline document containing required sections and examples of formatting suitable for the type of document. Example templates are available for Business Scenarios, Guides, Standards, Snapshots, and White Papers.
2.3.8 Draft Standard
A document that is being developed to become an Open Group Standard that has not yet completed the Company Review Process and the Approval Process. See Section 3.2.2 and Section 3.2.3 of the Standards Process.
2.3.9 Guide
A Guide is a supporting document. It is a mechanism for The Open Group to disseminate supporting information on a subject area to an interested audience. Guides have no formal status.
2.3.10 Operating Charter
A document recording the guiding principles, the roles of officers, and specific procedures for the operation of a Forum or Work Group. It supplements the standard governance processes by making specific choices; for example, defining how activities are managed (working groups, projects, and standing committees), the definition of the quorum (for a Work Group), procedures for election of officers, and elections of Chairs for specific projects or tasks.
This will be developed and approved by the Forum or Work Group and ratified by The Open Group Governing Board. It should be reviewed at least biannually by the Forum or Work Group.
A template for an Operating Charter is available from the Specification Tools and Process Support Site. 2.3.11 Preliminary Standard
These are standards, usually addressing an emerging area of technology or best practice, and consequently not yet supported by a base of conformant implementations, that are released in a controlled manner for the purpose of validation through practical implementation or prototyping. A Preliminary Standard is not a Draft Standard. Indeed, it is as stable as The Open Group can make it, and on publication has gone through the same rigorous development and review procedures as a full Open Group Standard.
Preliminary Standards are analogous with the trial-use standards issued by formal standards organizations, and product development teams are intended to develop products on the basis of them. However, because of the nature of the technology or subject area that a Preliminary Standard is addressing, it is untried in practice and may therefore change before being published as a full Open Group Standard. In such a case The Open Group Standard will be made as upwards-compatible as possible with the corresponding Preliminary Standard, but complete upwards-compatibility in all cases is not guaranteed.
2.3.12 Publicly Available Specification (PAS)
A Publicly Available Specification (PAS) is an ISO/IEC JTC1 transposition procedure whereby organizations accredited as valid PAS Submitters can send their specifications directly for country voting, to become ISO/IEC standards. See Section 3.3.6 of the Standards Process.
2.3.13 Referenced Standard
A document developed and published by a third party, which is referenced by The Open Group in an Open Group Standard.
2.3.14 Snapshot
Snapshots are draft documents, which provide a mechanism for The Open Group to disseminate information on its current direction and thinking to an interested audience, in advance of formal publication, with a view to soliciting feedback and comment. A Snapshot represents the interim results of a technical activity. Although at the time of publication The Open Group intends to progress the activity towards publication of a Preliminary Standard or Open Group Standard, The Open Group is a consensus organization, and makes no commitment regarding publication. Similarly, a Snapshot does not represent any commitment by any member of The Open Group to make any specific products available.
2.3.15 Standard
A document established by consensus and approved through The Open Group Company Review Process that provides for common and repeated use, rules, guidelines or characteristics for activities or their results.
2.3.16 Technical Corrigendum
A collection of corrections to errors or inconsistencies to an approved Open Group Standard. See Section 3.3.7 of the Standards Process.
2.3.17 White Paper
A White Paper is a discussion or position paper. It is a mechanism for The Open Group to disseminate information on its current thinking for a subject area to an interested audience, with a view to soliciting feedback and comment. White Papers have no formal status.
2.3.18 Versions and Issues of Open Group Standards
From time to time, Open Group Standards require revision to align with new developments and associated international standards. To distinguish between revised Standards which are fully backwards compatible and those which are not:
A new Version indicates there is no change to the definitive information contained in the previous publication of that title, but additions/extensions are included. As such, it replaces the previous publication.
A new Issue indicates there is substantive change to the definitive information contained in the previous publication of that title, and there may also be additions/extensions. As such, both previous and new documents are maintained as current publications.
2.4 Legal Agreements
2.4.1 Certification Agreement
An agreement between an entity applying for certification and the Certification Authority. It defines the certification service and the legal commitment to the conditions of the service.
2.4.2 IPR Policy
See Section 6 of the Standards Process.
2.4.3 Patent Policy
See Section 7 of the Standards Process.
2.4.4 Trademark License Agreement (TMLA)
A legal agreement which sets out the terms under which a vendor may use one of The Open Group certification marks in association with products that conform to an Open Group Standard, or the terms that a person may use one of The Open Group certification marks to show they have attained the required level of skill or knowledge to become certified.
2.5 Tools
2.5.1 Aardvark Comment Format A convention for submitting review comments against a document. The format includes page and line numbers, together with a problem description and proposed change. The format can be processed automatically by a program known as the Aardvark (the bugeater).
2.5.2 Bug Tracker
A tool to manage defect reports and enhancement requests against a standard. Examples, include Mantis and Bugzilla.
2.5.3 The Open Group Document Online Review System
A web tool that allows for online review of a document, supporting placement of inline comments from multiple reviewers, with export of comments for resolution.
2.5.4 Examinations
An assessment intended to measure a test-taker's knowledge.
2.5.5 Plato
The Open Group collaboration system used by its Forums and Work Groups to provide a structured working area for its work program. Facilities include a document repository, events, and actions.
2.5.6 Standards Information Base
A publicly accessible register of all Open Group Standards and Referenced Standards.
2.5.7 Test Suites
An automated application that can measure compliance for a product or tool.
2.5.8 Wikis
A collaboration system that allows for free-form development of documents amongst multiple users. 3. The Standards Development Process
Summary
This section describes the procedures to be followed for the development of Open Group Standards. It includes the Core Processes, together with Supporting Processes.
Contents
3.1 Introduction
3.2 Core Processes
3.2.1 Draft Development Process
3.2.2 Company Review Process
3.2.3 Approval Process
3.2.4 Publication Process
3.3 Supporting Processes
3.3.1 Consensus Decision-Making Process
3.3.2 Change Request Process
3.3.3 Snapshot Process
3.3.4 Preliminary Standard Process
3.3.5 Fast Track Process
3.3.6 ISO PAS Submission Process
3.3.7 Technical Corrigendum Process
3.3.8 Pre-Review Approval Process
See Also: [Definitions and Glossary]
3.1 Introduction
The following graphic shows standards developed or recognized by The Open Group: Any standard represented by an entry in the Standards Information Base (SIB) represents consensus among the members of The Open Group that the definition is broadly adopted and suitable for use in the definition of Enterprise Architectures, in procurement of products, and in the identification of operational best practices in specific areas of IT.
When an Open Group Standard is approved, an entry is added to the Standards
Information Base. Any standard recorded in the Standards Information Base:
• Must be an open standard as defined by the Standards Adoption Criteria
• Must be a publicly available document, under effective change control, and with fixed and referenceable content
• May be referenced in any Open Group Standard
There are two categories of standard represented in the Standards Information Base:
• Open Group Standards are published by The Open Group (or by a third party under The Open Group logo).
• Open Group Referenced Standards are those published by a third party.
An Open Group Standard may incorporate one or more Open Group Standards (by reference) and/or one or more Referenced Standards as shown as follows:
3.2 Core Processes
The Core Processes run from agreement on an idea to develop a standard, draft development, review, approval, and publication of the standard.
The Core Processes apply where a standard is developed as part of the work program of an Open Group Forum or Work Group. The Forum or Work Group is responsible for building consensus around the detailed specification during the Draft Development Process. The Company Review Process is used to measure consensus as follows:
• The Open Group Manager is responsible for the execution of the Company Review Process.
• The Forum or Work Group is responsible for the resolution of comments and issues arising during the Company Review Process.
On successful completion of the Company Review Process, The Open Group Manager is responsible for preparing a proposal for approval by The Open Group Governing Board through the Approval Process. After approval, the Technical Editor will manage the Publication Process.
Human Actors
• Forum/Work Group
• The Open Group Manager
• Technical Editor
• Forum/Work Group Elected Officers
• Member Representatives
• The Open Group Director, Standards
• The Open Group Executive Management
Sub-Processes
• Draft Development Process
• Company Review Process
• Approval Process
• Publication Process
Documents
• Draft Standard
• Company Review Report
• Standard
Tools
• Standards Information Base
• Plato
• Wikis
• Aardvark Comment Format
• Bug Tracker
3.2.1 Draft Development Process
In order to become a Draft Standard a document has to undergo a consensus-based draft development process. A high-level overview is shown below: Human Actors
• Forum/Work Group
• The Open Group Manager
• Technical Editor
Sub-Processes
• Approval to add to work program
• Draft text production
• Consensus Decision-making
See Also: [Standards Adoption Criteria]
3.2.1.1 Approval to Add to Work Program
The decision to add the development of a new standard to a Forum or Work Group work program should be a consensus decision of the applicable Forum or Work Group.
3.2.1.2 Draft Text Production
The process of producing draft text is decided by the Forum or Work Group in cooperation with The Open Group Manager and Technical Editor. The starting point is usually one of a number of document templates available from The Open Group Specification Tools Area.
Draft Text Production is where the bulk of SOSA consortium-specific document development activities occur within SOSA Subcommittees and Working Groups. More granularity surrounding the steps and timelines for various document review cycles, comment and change request resolution cycles for draft documents, and test(s) for consensus at the Working Group level prior to making a recommendation to the Steering Committee to release a document into to the next review and approval phase is shown in the following list:
• 1st Draft of Document completed by Subcommittee authors
• Working Group/Standing Committee/All-member Informal review via Plato minimum 2 weeks o Review and provide comments and change requests to draft document
• Change request resolution and incorporation into draft document by Subcommittee authors– 0-2 weeks
• Working Group/Standing Committee/All-member Formal review via Plato minimum 2 weeks o Review and provide comments and change requests to draft document
• Change request resolution and incorporation into draft document by Subcommittee authors 0-3 weeks
• Steering Committee (SC) Formal Review via Plato – minimum 2 weeks o Review and provide comments and change requests to draft document
• Change request resolution and incorporation into draft document by Subcommittee authors– 0-2 weeks o SC motion and vote to approve major/critical proposed change request resolutions for draft document (as needed) – 1-2 weeks • Working Group/Standing Committee Call for Consensus (see section 3.3.1) o Recommendation to SC to release document for The Open Group Company Review – 1 week
• SC vote for initial approval to release for The Open Group Company review– 1 week
• Announce Company Review (sec. 3.2.2.1) – 2 weeks in advance
• PAO/ITAR approval for unlimited distribution - 2 weeks o Subcommittee review/approval and resolution of PAO changes (as needed)
– 1 week
o SC motion and vote to approve PAO changes (as needed) – 1 week
• Tech Editor prep for publication – 1 week o Pre-Review Approval Process – 1 week o Subcommittee review/approval of Tech Editor/Pre-Review changes – 1 week o SC motion and vote to approve Tech Editor changes (as needed) - 1 week
• SC final approval to release for The Open Group Company review
The Draft Development Process ends with SOSA Steering Committee approval to release the document for The Open Group Member Company Review, or for publication review (section 3.2.4 of the Standards Development Process) if Company Review is not required.
3.2.1.3 Consensus Decision-Making
The decision to move a draft text into the formal Company Review Process should be taken using the Consensus Decision-Making Process within the applicable Forum or Work Group. See Section 3.3.1.
3.2.2 Company Review Process
The Company Review Process is the formal process by which The Open Group measures consensus around a document in order to become an Open Group Standard.
Prior to commencing a Company Review the document must pass the pre-Review approval process documented in the Pre-Review Approval Process.For documents that require Company Review, the SOSA Consortium completes the Pre-Review Approval Process as the final step of the Draft Development Process (Sec 3.2.1) prior to Steering Committee final approval to submit a document for Company Review. The Consortium then conducts all steps described herein Sections 3.2.2 and 3.2.3, and uses the supporting Change Request Process described in Section 3.3.2. These steps are summarized in the following list:
• Distribute materials
• The Open Group Member Company review and comment period via Plato – 4 weeks
• Subcommittee change request resolution – 1 week
• Working Group ballot on all change request resolutions – 1 week
• Subcommittee incorporates approved change requests into document– 1 week
• Steering Committee approves final document to release for The Open Group Governing Board review– 1 week
• Announce Governing Board Review – 1 week in advance
• Sanity Check to prepare for Governing Board Submission – 2 weeks o Final editorial pass by Technical Editor o Final review by Subcommittee authors that all change requests were incorporated as intended o Ensure track changes used throughout the process • Submit for Governing Board approval
The Company Review Process may also be applied to achieve consensus on documents that are not standards; e.g., Guides, White Papers, and Business Scenarios.
A high-level view of the Company Review Process is shown in the following diagram:
Human Actors
• All members
• Invited Experts
• Member voting representatives
• Review Group
• Ballot Group
• The Open Group Governing Board
• The Open Group Executive Management
• The Open Group Manager
• Technical Editor
• Sponsor
Sub-Processes
• Announce Company Review
• Distribute materials
• Review
• Recirculation review (optional)
• Implement changes
• Sanity review
3.2.2.1 Announce Company Review
The Open Group Manager shall provide at least two (2) weeks' notice that a document is to be submitted for Company Review. Such notice shall be sent by email to all those who are entitled to participate. The notification shall include for documents proposed to become an Open Group Standard:
• The name of the document
• The start and finish of the review period
• The proposed status of the approved document (i.e., standard or other material)
• The identity of the responsible Open Group Manager
• The email address to be used for submission of comments and Change Requests or details of The Open Group Document Online Review System that should be used within The Open Group online collaboration system
• Any specific format to be used for submission of comments and Change Requests (not applicable if The Open Group Document Online Review System is used)
• The name of the Sponsor (the Forum or Work Group for the standard Company Review Process submissions, or the Sponsor in the case of a specification submitted under the Fast Track Process)
• The proposed description of the standard to be included in the Standards Information Base
• The composition of the Review Group; balloter (identified by name) and reviewer status shall be identified for all participants
• A statement from The Open Group explaining how the proposed submission satisfies the Standards Adoption Criteria
• The type of ballot resolution, whether it is against the original Change Requests or the proposed resolutions put forward by the Sponsor
Participation
The following are entitled to participate in the Review Group for a Company Review:
Category/Source of Open Group Standard
Open Group Standard developed by a Forum or Work Group (Core Process)
Open Group Standard submitted directly to The Open Group by a Platinum member or group of Platinum members (Fast Track), which falls within the scope of and is accepted by an existing Forum or Work Group Fast Track which does not fall within the scope of an existing Forum or Work Group
Balloters (2,4)
Forum or Work Group The Open Group Governing Board Member (or appointee)
(1)
Forum or Work Group The Open Group Governing Board Member (or appointee)
(1)
Appointed by The Open Group Governing Board
Reviewers (4)
All Open Group members Technical Editors Invited Experts (3)
All Open Group members Technical Editors Invited Experts (3)
All Open Group members Technical Editors Invited Experts (3)
1. For companies and organizations not participating in the Work Group (if any).
2. There is only one (1) vote per company and/or organization.
3. Where appropriate, The Open Group Governing Board, Forum, and/or Work Group may independently agree to extend the Review Group to include other individuals and/or organizations as Invited Experts. The invitation to participate shall be issued by the appropriate Open Group Manager, who shall ensure that any appropriate non-disclosure agreements are in place.
4. Both reviewers and balloters may participate in the review and may raise Change Requests. All Change Requests must be considered, but only balloters vote on the acceptance/disposition of change Requests.
3.2.2.2 Distribute Materials
The Open Group Manager is responsible for ensuring that the document is available.
All documents submitted for Company Review shall be distributed electronically. Copies of the document shall normally be placed on The Open Group web server, and availability announced by email to all reviewers and balloters, at least seven (7) days before the formal start of the review period. In all cases, the document must be available before the start of the review period.
Document Format
The document to be reviewed must be made available in acceptable web format, and shall be formatted to be printable on both A4 and US letter (i.e., maximum area 8" x 11", 200 x 275mm). Wherever possible, page and line numbering should be applied and consistent across all delivered formats. When using The Open Group Document Online Review System for an online web document review, instead of page and line numbers, tag numbers are inserted within the web document.
3.2.2.3 Review
The Company Review period shall be proposed by The Open Group Manager and shall be geared to the nature of the document. The Open Group Governing Board may by resolution impose a different duration.
• For an initial review of a Draft Standard containing content other than certificationrelated materials, the review period shall normally be four (4) weeks.
• For Recirculation Reviews, the review period shall normally be two (2) weeks.
• For documents other than standards, the review period shall be defined by The Open Group Manager, and be no less than two (2) weeks.
Any shorter review period shall normally only apply to minor changes and is subject to resolution of The Open Group Governing Board.
During the Review, the Change Request Process will be implemented. See Change Request Process.
The Company Review focuses primarily on technical matters, which specifically includes agreement on the technical content of the document and the definition of parts which are considered mandatory for certification purposes. During Company Review, The Open Group editorial team may submit additional comments to ensure consistency of style and presentation of documents across the complete range of Open Group publications.
3.2.2.4 Recirculation Review (Optional)
If as a result of the Change Request Process carried out during the Company Review the number of changes arising from a Company Review is large, one or more of the balloting members of the Review Group may request of The Open Group Manager that the revised document be circulated for a repeat review. If The Open Group Manager does not accede to this request, this shall be reported to The Open Group Governing Board as part of the Company Review Report described above.
Where such a repeat review is necessary, the following special procedures apply:
1. The revised document shall annotate all changes made.
2. The formal notice period required for the review is two (2) weeks.
3. The standard review period is two (2) weeks.
4. Objections are restricted to unresolved issues remaining from the previous review cycle and any changes introduced since the previous review round (or the impact of such changes elsewhere in the document).
There is no limit to the number of Company Review cycles. However, The Open Group Governing Board may resolve not to continue the review if it appears that consensus cannot be achieved in a timely manner.
3.2.2.5 Implement Changes
At the conclusion of the Company Review, the Technical Editor will then implement the agreed Change Requests.
3.2.2.6 Sanity Review
Upon completion of technical editing the final proof of the standard will be made available to allow for confirmation that the technical integrity of the document has not been compromised during the editing process.
At least one (1) week's notice will be given to all balloters by email of the start of the final proofcheck.
The document will be made available via The Open Group web server.
A two (2)-week period will be allowed for the review.
Comments, which must be restricted to the incorrect application of agreed Change Requests, must be submitted to the responsible Open Group Manager, and circulated to the mailing list(s) used for the review.
3.2.3 Approval Process
Once the final text of a Draft Standard is complete, it can be submitted for approval. A high-level view of the Approval Process is shown in the following diagram: Human Actors
• The Open Group Manager
• The Open Group Legal Counsel
• The Governing Board
Sub-Processes
• Submission of Company Review Report
• The Open Group Governing Board Review
• The Open Group Governing Board Approval
3.2.3.1 Submission of Company Review Report
At the completion of the Company Review Process, The Open Group Manager shall prepare a proposal to approve the document and add a reference to the Standards Information Base for approval by The Open Group Governing Board. This must be accompanied by:
• A Company Review Report showing how comments and objections arising during the review have been addressed, and including the outcome of other necessary reviews.
• A statement confirming that the Standards Adoption Criteria have been satisfied.
Resolutions to approve a Draft Standard shall be notified to The Open Group Governing Board via The Open Group Legal Counsel by email, and copied to The Open Group Director, Standards.
3.2.3.2 The Open Group Governing Board Meeting
The proposal shall be considered by The Open Group Governing Board at the next appropriate meeting or by email between meetings.
If any member of The Open Group Governing Board believes that there has been a failure to adhere to the approved Standards Process, they shall bring that to the attention of The Open Group Legal Counsel within two (2) weeks, in which case the matter will be referred to a meeting or teleconference of the Governing Board, and the Draft Standard shall not proceed until the matter is resolved.
At a meeting to consider a Draft Standard, The Open Group Governing Board may either: • Resolve to approve the standard and the addition of the reference to the Standards Information Base
• Resolve not to approve the standard
• Refer the proposal to an appropriate Forum or Work Group for further consideration
3.2.3.3 The Open Group Governing Board Approval
The formal approval of specifications as Open Group Standards by The Open Group Governing Board is primarily a check on the integrity of process not of content. Governing Board members owe a duty to The Open Group to act in its best interests and to protect its assets. If a Governing Board member believes that approval of a standard is contrary to this duty, he/she may vote against.
3.2.4 Publication Process
For all Open Group publications, the final stage is for the document to complete an internal review by The Open Group Executive Management. Once that is complete, publication may proceed.
More granularity and the time line for each of the steps performed by the SOSA Consortium during the Publication Process are described below:
• Open Group Executive Approval – 1 week o Subcommittee review/approval and resolution of The Open Group Exec change requests (as needed) - 2 weeks o Steering Committee motion and vote to approve The Open Group Exec change requests (as needed) - 1 week
• Document published by The Open Group
All decisions not to publish a standard which has successfully completed Company Review shall be reported to The Open Group Governing Board.
Human Actors
• The Open Group Executive Management
• Technical Editor
Sub-Processes
• Executive Management Review
• Publish Standard 3.3 Supporting Processes
The following processes support the Core Processes or are variants on a Core Process.
3.3.1 Consensus Decision-Making Process
In order to become an Open Group Standard a document must achieve Consensus within The Open Group membership. This means that the Consensus Decision-Making Process is used when developing Open Group Standards.
Consensus is a principle of The Open Group. To promote consensus, The Open Group Standards Process requires Chairs to ensure that Forums and Work Groups consider all legitimate views and objections, and endeavor to resolve them, whether these views and objections are expressed by the active participants or by others (e.g., another Forum or Work Group, or a group in another organization). Decisions may be made during meetings (face-to-face or distributed) as well as through email. Consensus must be established over a time period sufficient to give any interested party an equal chance to participate.
By default, the set of members eligible to participate in a decision is the set of Forum or Work Group members. The Standards Process does not require a quorum for decisions. Instead, the call for consensus is sent to all members eligible to participate.
Where unanimity is not possible, a Forum or Work Group is recommended to make consensus decisions where there is significant support and few abstentions. The Standards Process does not require a particular percentage of eligible members to agree to a motion in order for a decision to be made but there must be sufficient evidence to demonstrate the consensus.
The high-level outline of the Consensus Decision-Making Process is shown in the following diagram:
Source: Wikipedia.org, licensed under Creative Commons The Consensus Decision-Making Process is applied at all stages during the development of a Draft Standard. A separate Handbook is available providing detailed guidance. In the case of a blocking situation arising, the Unanimity minus two (or U-2) process should be invoked by The Open Group Manager.
3.3.2 Change Request Process
Proposed changes to a document under review should use the Change Request Process.
A simplified high-level overview of the Change Request Process is shown below:
Human Actors
• Review Group
• Ballot Group
• The Open Group Manager
• Sponsor (Forum/Work Group or Fast Track Sponsor)
Sub-Processes
• Submit Change Requests (Review Group)
• Create Proposed Resolutions to Change Requests (Sponsor)
• Vote on Proposed Resolutions (Ballot Group)
3.3.2.1 Submit Change Requests
All requests for modifications must be the subject of formal Change Requests and shall be submitted during the Company Review either by email sent to the notified email address or The Open Group Document Online Review System, whichever is applicable for the review.
3.3.2.1.1 Format of Change Requests
All Change Requests must be submitted in the following standard format (note that The Open Group Document Online Review System automatically mandates this format):
Document:
To which document the Change Request refers. Reference:
A unique reference, including company name or an appropriate abbreviation thereof, which may be used to refer to the Change Request. The reference should include a sequence number to enable The Open Group Manager (and others) to identify any Change Requests not delivered by email.
Source:
Name of the company submitting the request.
Title:
Describing the request.
Qualifier:
Nature and severity of the change requested. Possible values are:
• Severity: Minor, Major, Critical
• Nature: Editorial, Technical
Rationale:
Reason that change is needed, reason that the suggested change is preferred over other possibilities, etc.
Change:
Specific changes which should be made to the document to satisfy the objections.
Sufficient information must be included to uniquely identify the location affected, including page, section, and line numbers, when available.
In the case of pervasive changes, individual changes may not be feasible. In such cases, other methods to describe the changes are permitted, but must define completely the action required of the editor. However, it should be noted that such changes may be difficult to discuss at such a late stage of the specification lifecycle.
3.3.2.2 Creation of Proposed Resolutions
At the end of the Company Review period (and after each Recirculation, if applicable), the Sponsor may prepare a proposed resolution for each submitted Change Request. The Sponsor is free to recommend rejection of some or all Change Requests at this stage. The proposed resolution categories as supported by the Plato Document Review tool are as follows:
• Accept: Accept the proposed change from the submitter "as is"
• Accept as Marked: Accept that there is a problem but propose alternate or modified wording to resolve the issue
• Reject: The change is rejected, the resolution should include a brief rationale in this case • Duplicate: The issue is resolved by the resolution of another Change Request, in which case include the Change Request reference number as in Duplicate of n
3.3.2.3 Vote on Proposed Resolutions
At the Sponsor's discretion, the Company Review ballot may be either:
• Whether to accept or reject the original Change Request
• Whether to accept or reject the Sponsor's proposed resolution to the Change Request
The Open Group Manager shall compile and circulate to the Review Group a list of all Change Requests received and the Sponsor's proposed resolution (if any), together with a ballot form, making it absolutely clear whether it is the original Change Request or Sponsor's proposed resolution that is the subject of the ballot.
Balloters shall vote by email on every original Change Request or Sponsor's proposed resolution, as applicable, within a reasonable period prescribed by The Open Group Manager (no less than one (1) week). Their votes must be Yes (accept), No (reject), or Abstain (don't care). Only Yes and No votes shall be counted when deciding the result of the ballot. It is acceptable for The Open Group Manager to include an option on the ballot form for balloters to indicate their acceptance of all the original Change Requests or Sponsor's proposed resolutions, as applicable to the review. The votes will be counted by The Open Group Manager and the results normally circulated within one (1) week after the end of the ballot period. There are no quorum requirements for Company Review ballots.
If the subject of the ballot is the original Change Requests:
1. As a result of the ballot, the resolution for a Change Request maybe:
• Clearly accepted – if approved by at least 75% of votes cast (excluding abstentions)
• Clearly rejected – if rejected by at least 75% of votes cast (excluding abstentions)
• Unresolved – in all other cases
2. Where a Change Request is clearly accepted, the Change Request is to be applied to the document under review with no discussion. Where a Change Request is clearly rejected, it is discarded with no discussion.
If the subject of the ballot is the Sponsor's proposed resolutions to the Change Requests:
1. As a result of the ballot, the proposed resolution for a Change Request may be:
• Clearly accepted – if approved by at least 75% of votes cast (excluding abstentions)
• Unresolved – in all other cases
2. Where a proposed resolution for a Change Request is clearly accepted, the proposed resolution is to be applied to the document under review with no discussion.
Where a Change Request or proposed resolution is unresolved, reasonable effort will be made to achieve resolution through a discussion prior to and at an issue resolution meeting. This is under the lead of The Open Group Manager.
If it is anticipated that unresolved Change Requests may remain after the ballot, an issue resolution meeting shall provisionally be scheduled by The Open Group Manager, with at least three (3) working weeks' notice, immediately following the completion of the ballot period to avoid unnecessary delays. This meeting is open to both balloters and reviewers. In issue resolution meetings, in order to achieve consensus, an unresolved Change Request or proposed resolution to the Change Request, as applicable, may be modified by the submitter of the Change Request or the submitter of the proposed resolution (the Sponsor) or The Open Group Manager with the agreement of the submitter. No new Change Requests may be proposed at this stage. Only balloters may vote and only those proposed resolutions which achieve 75% approval of those voting (excluding abstentions) will be accepted. This meeting maybe held by video or teleconference. Proxy votes are not permitted, but email votes submitted at least 24 hours in advance will be accepted. (If proposed resolutions are modified to achieve consensus during the meeting, The Open Group Manager must confirm the interpretation of each email vote with the submitter of the vote.)
3.3.3 Snapshot Process
A Snapshot publication (see Snapshot) is released with no Company Review or formal approval status. The Approval Process is working body consensus to release as a Snapshot together with a recommendation from The Open Group Manager and internal Open Group Executive Management review and approval. A Snapshot usually has a lifetime of no more than six (6) months before being withdrawn.
Prior to seeking approval to release a document under the Snapshot Process, the document must pass the Pre-Review Approval Process documented in Section 3.3.8.
Human Actors
• The Open Group Executive Management
• Forum/Work Group
• The Open Group Manager
• Technical Editor
Sub-Processes
• Consensus to release a Snapshot (using the Consensus Decision-Making Process)
• The Open Group Executive Management review
• Publication Process
3.3.4 Preliminary Standard
The development, review, and approval process for a Preliminary Standard (see Preliminary Standard) is the same as for a full Open Group Standard.
3.3.5 Fast Track Process
The Fast Track Process is a variant of the Company Review Process applied when a specification is brought forward by a Platinum member (the Sponsor). The process commences with the Sponsor informing The Open Group Executive Management of its intent to submit a proposal for Company Review of a Candidate Specification.
The Sponsor must be prepared to undertake the circulation and subsequent editing of documents, and supply written confirmation of willingness to comply with The Open Group commercial and legal conditions (as defined in the Standards Adoption Criteria).
Human Actors
• Sponsor
• The Open Group Governing Board
• The Open Group Executive Management
• The Open Group Manager
• Ballot Group
• Review Group
• Invited Experts
• Technical Editor
Sub-Processes
• Acceptance into Fast Track
• Assignment of the Ballot Group
• Company Review Process
• Approval Process Copyright Transfer Publication Process
3.3.5.1 Acceptance into Fast Track
After consulting with any relevant Forum(s), Work Group(s), and if applicable The Open Group Governing Board, The Open Group Executive Management will indicate its willingness to accept the submission into the Fast Track Process. This decision will take into account stated priorities of customers and vendors and the availability of resources. The Open Group Executive Management must inform the Governing Board of any Company Review submissions that it rejects from consideration, including the rationale for rejection, unless the submitters expressly request to maintain their confidentiality.
At this stage The Open Group Executive Management appoints an individual, The Open Group Manager, to manage the process and be responsible for the correct execution of the Company Review.
At this stage, the submitter must make the document available. The submitter may either deliver the document to The Open Group for electronic distribution, or provide a pointer to the location of an electronic version of the document in a manner acceptable to The Open Group Manager. If there is any significant delay compared to the original plan, the Governing Board may resolve that the Company Review has failed.
3.3.5.2 Assignment of the Ballot Group
If the specification falls within the scope of a Forum or Work Group, that group forms the Ballot Group; otherwise, The Open Group Governing Board appoints the Ballot Group.
3.3.5.3 Role of Sponsor in the Company Review
The submitting organization is responsible for the resolution of Change Requests arising during the Company Review.
If the ballot or issue resolution results in rejection of any recommendation made by the Sponsor, the Sponsor has the right to withdraw the proposed standard.
3.3.5.4 Copyright Transfer
At the end of the Company Review Process, the Sponsor must release the document to The Open Group in an acceptable electronic format and execute a copyright transfer, according to the Standards Adoption Criteria.
3.3.6 ISO PAS Submission Process
The Open Group is a Recognized PAS Submitter. This permits The Open Group to submit standards to ISO/IEC JTC1 for adoption as International Standards. The criteria for selection of a candidate Open Group Standard for submission as an ISO PAS and the process for approval of the submission are documented in this section.
Where, as part of the adoption process by ISO/IEC, changes are identified to an Open Group Standard, they will have to be approved through the Company Review Process.
The following diagram shows the high-level outline for the ISO PAS Submissions Process:
Human Actors
• The Open Group Executive Management
• The Open Group Governing Board
• The Open Group Manager
• The Open Group Director, Standards
• Liaison Representative
• Recognized PAS Submitter
• Sponsor for the PAS Submission (Platinum Member)
Sub-Processes
• Selection of standards
• Approval to submit a PAS 3.3.6.1 Selection of Standards Scope
The Open Group is a Recognized PAS Submitter to ISO/IEC JTC1 and is able to submit specifications that have the scope of SOA, Cloud Computing, Enterprise Architecture, and Security. This is the current baseline of what can be submitted.
Criteria
This section documents the criteria required for a standard to be a candidate for a PAS Submission.
The document must be an approved Open Group Standard.
There must be a Sponsor for the submission drawn from the Platinum members of The Open Group. Responsibilities of the Sponsor are as follows:
• The Sponsor must prepare the draft proposal to submit an Open Group Standard as a PAS. This includes completion of the PAS Submission form from ISO/IEC JTC1.
• The Sponsor must provide for resources, usually in the form of a nominated individual, to attend the appropriate JTC1 meetings and represent The Open Group.
• The Sponsor must provide for resources to prepare responses to comments received in the PAS ballot, and resources to facilitate ballot resolution meetings.
The Sponsor will be required to confirm its commitment in writing to The Open Group.
3.3.6.2 Approval to Submit a PAS
Upon completion of a proposal by the Sponsor, the submission must first be approved by The Open Group Manager responsible for the technical area, The Open Group Director, Standards, and The Open Group Executive Management.
The Open Group Director, Standards shall then notify The Open Group Governing Board via The Open Group Legal Counsel by email. This will include a resolution to approve the proposed submission and the appointment of a delegate to represent The Open Group at ISO/IEC JTC1 for the purpose of managing the technical approvals process within ISO.
The Open Group Governing Board is responsible for approving the submission of an Open Group Standard as a PAS Submission to ISO/IEC JTC1, and for approving The Open Group Liaison Representative to ISO/IEC for the submission.
3.3.7 Technical Corrigendum Process
From time to time errors or inconsistencies will be found in Open Group Standards; for example, as a result of interpretations raised in a Certification Program, or defect reports against the standard. These can be corrected through production of a Technical Corrigendum, detailing a list of corrections to the standard.
A Technical Corrigendum against an approved standard changes the normative meaning of the standard upon its approval and thus must be developed through the Company Review Process. Once approved, the Technical Corrigendum will be made available on The Open Group web site.
Human Actors
• Forum/Work Group
• Technical Editor
• The Open Group Manager
Sub-Processes
• Defect Reporting Process
• Resolve Defects and Interpretations Process
• Company Review Process
3.3.8 Pre-Review Approval Process
Documents submitted for Company Review and intended to become Open Group Standards will be reviewed and approved by the Vice President responsible for the work area, and the Director of Standards prior to entering Company Review. This process is also applied to documents to be released under the Snapshot Process. The announcement of the review will also be circulated to all Forum Directors.
This review will be coordinated by the Technical Editor passing the final draft of the document for review and approval prior to the announcement of a Company Review or prior to submission for internal Open Group Executive Management review and approval under the Snapshot Process.
Reasons for non-approval include:
• Lack of a neutral viewpoint (e.g., inclusion of vendor-specific material or links to marketing sites)
• Unacceptable conditions/encumbrances (restrictions on the use and reproduction of the material in the document)
• Unacceptable format -not following the standard templates or style guide
• Legally unacceptable content (potentially defamatory statements, etc.)
• Insufficient, erroneous or low quality content in required sections (e.g. failing to mention MDA or ArchiMate in a proposed standard that is described in its title as modeling, or failing to reference a relevant ISO standard).
• Where the subject matter would be better described as a White Paper
Human Actors
• The Open Group Manager
• The Open Group Director, Standards
• Technical Editor
• The Open Group Vice President 4. The Certification Development Process
Summary
The Open Group provides Certification Programs for people, products, and services that meet Open Group Standards.
For Product and Services Certification, The Open Group produces standards that reflect practical market requirements. The programs provide a warranty of conformance for products, services, and business practices to these standards.
For People Certification, The Open Group provides a globally recognized, credible, and portable validation of knowledge, skills, and expertise.
This section describes the procedures to be followed when developing a Certification Program.
It includes the Core Processes applicable to all Certification Programs, together with supporting descriptions of the deliverables.
Contents
4.1 Core Processes
4.2 Deliverables
4.1 Core Processes
The Core Processes run from approval to commence development of a Certification Program through to operation of the program. The Open Group Executive Management approval is required in order to commence development. The high-level development process is shown in the following diagram:
Human Actors
• The Open Group Certification Manager
• The Open Group Legal Counsel
• The Open Group Governing Board
• Technical Editor
• The Open Group Executive Management
• Review Group
• Ballot Group Sub-Processes
• Develop certification materials
• Company Review
• Approve certification materials
• Publish certification materials
• Launch Certification Program
• Operate Certification Program
4.1.1 Develop Certification Materials
A number of documents are required to be developed to support a Certification Program. These typically include a Certification Policy, Conformance Materials, and Legal Agreements. The exact deliverables depend on the program type, whether it is a Product Certification or a People Certification Program.
Further information is provided in Section 4.2.
4.1.2 Company Review
The review process for certification materials is the Company Review Process. See Section 3.2.2 of the Standards Process.
For certification materials, the review period will normally be two (2) weeks, except for a new Certification Policy where it will be four (4) weeks. Where a Certification Policy is a derivative of an existing Certification Policy, the review will be two (2) weeks.
4.1.3 Approve Certification Materials
The approval process for certification materials is the same as for Open Group Standards and includes approval by The Open Group Governing Board. See Section 3.2.3 of the Standards Process.
4.1.4 Publish Certification Materials
The Publication Process for certification materials is the same as for Open Group Standards and involves a review by The Open Group Executive Management. Publication is often held to coincide with the program launch. See the Section 3.2.4 of the Standards Process.
4.1.5 Launch Certification Program
The launch of a Certification Program is the responsibility of The Open Group Certification Manager.
The launch plan will be developed by The Open Group Certification Manager in collaboration with the relevant parties, such as the sponsoring Forum or Work Group.
The launch plan is subject to approval by The Open Group Executive Management. 4.1.6 Operate Certification Program
Once launched, responsibility for day-to-day operations is passed to the Certification Operations team within The Open Group.
4.1.6.1 Certification Register/Directory
When an application for certification has been successfully processed, details of the product, individual, or service, as appropriate, are added to the relevant Certification Register for the Certification Program. For People Certification Programs the register is sometimes referred to as a Directory.
4.2 Deliverables
The key deliverables for a Certification Program are:
• Certification Policy
• Conformance materials
• Indicator of Compliance (e.g., test suite/supporting package/examination)
• Legal agreements
• Other materials (application forms, logos, certificates)
4.2.1 Certification Policy
The Certification Policy describes the way in which a Certification Program will operate. An approved Certification Policy becomes the framework for all future steps.
The Open Group Certification Manager is responsible for the development of the Certification Policy. The development of the Certification Policy affects all constituencies within The Open Group and must include consultation with any relevant Forum and Work Group.
It is at the discretion of The Open Group Executive Management whether a full Certification Policy document is developed. For additions to an existing Certification Program which are significantly different to the current program or for any where a new or amended legal agreement is required, an agreed Certification Policy builds consensus at an early stage in the development process.
Where an approved Certification Policy exists, review of all subsequent documents is restricted to the correct implementation of the approved policy.
The Certification Policy for a functional area should normally define the following information:
• An overview describing the proposed scope of the program and terminology and definitions
• The outline certification process and how to apply for certification
• The policy regarding conformance in the program, what constitutes a conformance release, and how Conformance Requirements are defined
• Obligations on suppliers of certified products, services, or on certified individuals (if applicable)
• The trademark licensing policy
• The policy relating to inclusion and removal from the Certification Register
• The testing policy for the program – for Product Certification this is typically a test suite; for People Certification this may be an examination or development of a package of materials followed by an interview panel
• The certification requirements for modifications to certified entities
• The certification renewals process
• The certification problem reporting and interpretations process
• The appeals policy
• The non-disclosure policy
4.2.2 Conformance Materials
In order to support the introduction of a new Certification Program the following conformance materials are required:
• Conformance Requirements
• Conformance Statement Questionnaire (CSQ) template(s) (for Product Certification)
4.2.2.1 Conformance Requirements
The Conformance Requirements represent the normative definition to which a product, service, or person must conform in order to qualify to carry the certification mark. The contents depend on whether it is a Product Certification or People Certification Program.
The development of the Conformance Requirements is the responsibility of The Open Group Certification Manager.
For Product Certification, the Conformance Requirements should include:
• Open Group Standards (by reference)
• Additional specification materials (directly included)
• Indicators of compliance (tests suites, etc.)
• Portability environment
For People Certification, the Conformance Requirements should include:
• Open Group Standards (by reference)
• Additional requirements (the body of knowledge or skills and experience)
• Indicators of Compliance (examinations, assessment methods, etc.)
4.2.2.2 Conformance Statement Questionnaire(s)
CSQs are pro-forma documents used by trademark licensees to define exactly how their product relates to the standard for certification, especially in places where the standard and/or referenced standard(s) contain optionality or flexibility.
The development of CSQs is the responsibility of The Open Group Certification Manager. CSQs are subject to consensus approval using the established Company Review Process.
In general, these are only used for Product and Services Certification.
4.2.2.3 Indicators of Compliance
Where a desirable Indicator of Compliance for a Certification Program is a test suite (for Product Certification) or examination (for People Certification), The Open Group Certification Manager will establish an appropriate project for its development, subject to a satisfactory business case.
The development of an Indicator of Compliance is the responsibility of The Open Group Certification Manager. It is recommended that acceptance criteria for general availability of a test suite or an examination and its acceptance as an Indicator of Compliance for certification be developed prior to start of development.
4.2.3 Other Materials
Certain other materials must be developed as part of the certification process. These may include:
• Application forms
• Certification logo masters
• Certificates
These materials are not themselves subject to any consensus process.
4.2.4 Legal Agreements
The Open Group Legal Counsel is responsible for the development of new legal agreements or updating of existing agreements.
Note: The majority of new programs use standard templates for the TMLA and other legal agreements, or are an extension to an existing TMLA or other legal agreement.
The Company Review Process is only required in the case of a non-standard template being used. In this case the balloting members of the Review Group are the nominated representative of each Open Group Governing Board member. 5. Confidentiality
Summary
This section describes the procedures to be followed when handling confidential material within The Open Group and within member companies when working with The Open Group. Three sources of information are considered:
• The Open Group
• An Open Group member
• A third party
All Open Group Membership Agreements include provisions which define the general obligations of The Open Group and members of The Open Group in respect of confidential information. Individual nondisclosure agreements may apply to third-party information.
These guidelines describe some of the practical steps to be taken to identify and protect confidential information, but they are always subject to the provisions of the relevant agreement.
Contents
5.1 Material from The Open Group
5.2 Material from a Member
5.3 Material from a Third Party
5.4 Miscellaneous Provisions
Human Actors
• The Open Group Manager
• Open Group Member
• Third Party
5.1 Material from The Open Group
From time to time, confidential material may be originated by The Open Group for distribution to those people within member companies working on Open Group business.
When originated, The Open Group Manager must:
1. Clearly indicate on a cover sheet that the material is Open Group Confidential, so that the recipient has the opportunity not to open the document.
• The cover sheet must include sufficient information to allow the recipient to make that judgment.
• The cover sheet must also state clearly whether the recipient is permitted to make copies of the document (within the overall provisions of the confidentiality obligations in the relevant Membership Agreement).
2. If possible, ensure that each page of the document is clearly marked with the designation Open Group Confidential.
3. Distribute the material only by a secure means of delivery (see below).
In turn, the recipient must:
1. Use the material only for the purpose for which it was originally intended.
2. Restrict disclosure of the material to those of its staff working directly on Open Group-related activities.
3. Apply at least as strict rules to prevent unauthorized disclosure as would be applied to the member's own confidential material.
5.2 Material from a Member
The procedures for handling confidential material from a member of The Open Group are similar to those described above, with the exception that the cover sheet should be inscribed xxx Confidential – for The Open Group use only and that each page should be inscribed xxx Confidential, where xxx is the name of the member.
When distributing such material, The Open Group must treat it in the same way as its own confidential material, and recipients must treat the material as if it were Open Group Confidential.
5.3 Material from a Third Party
When The Open Group obtains confidential information from a third party, typically under the control of a non-disclosure agreement, the material should subsequently be treated as Open Group Confidential with the following additional procedures:
1. Whenever the material is distributed, it must include a cover sheet which states explicitly that the material is Open Group Confidential, the name of the company who originated the material, and reference to any non-disclosure agreement that is in place and any special terms which may inhibit the freedom of Open Group members to receive the material.
2. Recipients must treat the material as Open Group Confidential on the basis of the cover sheet. It cannot always be guaranteed that every page will be marked as confidential.
5.4 Miscellaneous Provisions
5.4.1 Web Postings Material posted in password-protected areas of The Open Group web sites, including password-protected wikis and Plato pages, whether posted by The Open Group or member companies, is always to be regarded as Open Group Confidential, whether or not it is explicitly labeled as such.
5.4.2 Distribution of Materials Confidential material must be distributed using secure methods of distribution. The following methods are for the purposes of these procedures assumed to be secure:
1. Normal mail service
2. Courier services
3. Fax to a localized fax machine
4. Electronic mail using public packet switched networks (such as the Internet) which do not store the complete message at any intermediate site which is not under the control of The Open Group or its members
5. The use of a web site, providing that the authentication and authorization services in use are sufficient to reasonably restrict access to confidential materials to those entitled to gain access
The following methods are for the purposes of these procedures assumed to be insecure:
1. Fax to a machine shared with people not entitled to receive the information being transmitted
2. Electronic mail services which operate using a store-and-forward mechanism, where the complete message is stored in non-encrypted form at any intermediate site(s) which is/are not wholly under the control of The Open Group or its members
3. Any web site without appropriate authentications and authorization services to reasonably restrict access
5.4.3 Verbal Presentations
Any material presented verbally either formally or informally is assumed to be nonconfidential unless the presenter states in advance that the material is confidential and offers anyone who does not wish to receive the material the opportunity to leave the meeting for the duration of the presentation. 6. Standards Adoption Criteria
Summary
This procedure describes the criteria of openness which must be considered before any specification may be adopted by The Open Group as the basis for the development and possible publication of an Open Group Standard or inclusion in the Standards Information Base.
Criteria to be considered include:
• Legal considerations
• Market need
• Cost
• Availability of conformant products
• Timing
Not all of the criteria defined are absolute requirements, but all must be considered before the final decision is taken on adoption of a specification.
IMPORTANT NOTE: Although statements regarding conformance to these criteria must be based on the submitters' good faith claims, it is recognized that some constraints, such as licenses and/or patents, may not be known at the time of submission and The Open Group can provide no immunity from legal action to any company utilizing the specifications.
Contents
6.1 Applicability of Criteria
6.2 Criteria to be Applied
6.3 Process Implementation
Human Actors
• The Open Group Manager
• The Open Group Legal Counsel
• Governing Board
• Submitter (for Fast Track)
Sub-Processes
• Copyright transfer
• Patent disclosure and licensing under royalty-free terms (see Section 7 of the Standards Process)
• Process implementation 6.1 Applicability of Criteria
In the following sections, the applicability of each criterion is defined as follows:
Required:
The specification may not be adopted as a standard unless the criterion is satisfied.
Recommended:
A good rationale must be presented if the criterion is not satisfied.
Desirable:
Although, ideally, it is desirable that this criterion be satisfied, it is recognized that circumstances may preclude this.
Informational:
This information must be known, before any decision to adopt the standard is taken.
6.2 Criteria to be Applied
6.2.1 Legal Criteria Required:
• A permanent royalty-free copyright license from the copyright holder of the material for The Open Group to use and publish (not required if The Open Group has no plans to publish the standard).
• If the standard to be adopted is covered by patents, such patents must be licensed by their owners on a royalty-free, reasonable, and non-discriminatory basis (see the Patent Policy for more information).
• An assurance that a person developing a product in accordance with the standard is immune from any liability to the contributor of the material in respect of the use by him or his customers of such material, other than through failure to properly license predisclosed patents (see Patent Policy for more information).
• The terms to be such that The Open Group will not be inhibited in its efforts to secure acceptance by International Standards bodies.
Desirable:
• The contributor to give The Open Group access to all future versions of the material with no obligation on The Open Group to adopt them.
6.2.2 Market Need Criterion Recommended:
• Evidence that there is a market need for the standard; for example:
1. Member-driven requirement
2. Requirement derived from The Open Group Product Management Strategy
3. Supplier-submitted evidence 6.2.3 Stability Criteria Required:
• The availability of a high quality specification upon which The Open Group activities can be based.
Desirable:
• The availability of a test suite which could be used as the basis for conformance testing.
• Conformant product available.
Informational:
• Understanding of activities in this area in other consortia and official standards bodies.
• Existing implementations respect lower-level Open Group Standards to achieve portability.
6.2.4 Implementation Criteria Required:
• If the standard is taken from an existing product source licensable from a single vendor only, then implementations should be available to all companies on anon-discriminatory basis. This includes pricing and licensing conditions.
• Freedom for anyone to develop a practical product which either supports or utilizes the standard, subject to the need to license any predisclosed patents.
• The standard to be adopted must be specified sufficiently that a conformant product maybe implemented (and usable) using only the following:
o The standard itself o Products or services (e.g., protocols) that are publicly available or obtainable from multiple sources and on a non-discriminatory basis o Formal standards from accredited standards development organizations o Other Open Group published or referenced standards o Other freely available information
Informational:
• Commercial availability of implementations.
6.2.5 Future Criteria Recommended:
• Either the submitter should operate a process acceptable to The Open Group to handle modifications and/or extensions to the standard or The Open Group should be free to modify and/or extend it.
• The Open Group should have access to relevant extensions/enhancements to the standard from the developer for an agreed period (without obligation). It is expected that this obligation will be clearly bounded in the legal agreement with the submitter.
Desirable:
• Commitment from the submitter to adopt and implement agreed Open Group changes and/or extensions.
6.3 Process Implementation
There is an Open Group Manager designated as responsible for each review. It is the responsibility of The Open Group Manager to ensure that the Standards Adoption Criteria are met.
When it is proposed to select a specification as the basis of Open Group work, The Open Group Manager shall advise The Open Group Governing Board.
At any stage during the development and/or adoption of the standard, any member of The Open Group Governing Board may ask for a formal report that the Standards Adoption Criteria have been met; in which case, The Open Group Manager shall prepare a report demonstrating that all of the defined criteria have been considered, and that all of the required conditions are satisfied.
The report shall be signed off by:
1. The Open Group Manager – to confirm that market need, stability, implementation, and future criteria have been considered and met.
2. The Open Group Legal Counsel – to confirm that legal criteria have been met.
Under normal circumstances, a formal report will be requested only when the submitter of a proposed standard is from outside The Open Group, and not from a formal standards development organization or liaison consortium that has comparable acceptance criteria. However, it is the responsibility of all parties in the standards development and approval process to ensure that the criteria are satisfied in all Open Group Standards. To that end, and to avoid confusion late in the approval process, The Open Group Manager shall ensure that all participants in Work Groups and, where relevant, all participants in Forums, have been informed of the details of the criteria and that these groups evaluate all aspects of their work to ensure the criteria are met. 7. Patent Policy
Summary This section documents The Open Group Patent Policy.
Contents
7.1 Definitions
7.2 Contributions
7.3 Patent Disclosures
7.4 Notification of Open Group Standards which are the Subject of Patent Disclosures
7.5 Reasonable and Non-Discriminatory Terms
Human Actors
• Contributor
• The Open Group Legal Counsel
• The Open Group Manager
Sub-Processes
• Contributions
• Patent disclosures
• Notification of Open Group Standards subject to patent disclosure
7.1 Definitions
In this policy, the following terms shall have the following meanings:
Contribution means any submission to The Open Group intended by the Contributor for publication as all or part of any Open Group Standard, and any statement made within the context of an Open Group activity. Such statements include oral statements in Open Group sessions, as well as written and electronic communications made at any time or place on Open Group email lists.
Contributor means any individual, organization, or other entity submitting a Contribution. Essential Claim means a valid claim of a Patent or a Patent application in any jurisdiction or a protected claim which would necessarily be infringed by the exercise of a right (including, but not by way of limitation, making, using, selling, importing, distribution, copying, etc.) with respect to an Implementation.
Implementation means any implementation, in any form, of an Open Group Standard. Patent(s) means a patent, patents, and patent applications (whether published or otherwise) anywhere in the world, whether granted or pending.
Personal Knowledge means something an individual knows personally or, because of that individual's job, would reasonably be expected to know. However, for the avoidance of doubt, this requirement should not be interpreted as requiring the Contributor to perform any patent search to find applicable IPR.
7.2 Contributions
By submission of a Contribution to The Open Group, each Contributor is deemed to agree to the following terms and conditions, on his or her own behalf, and on behalf of the organization(s) the Contributor represents or is sponsored by (if any) when submitting the Contribution:
1. The Contributor represents that he or she has made or will promptly make all disclosures required by this policy.
2. The Contributor represents that there are no limits to the Contributor's ability to make the grants, acknowledgments, and agreements herein that are within the Contributor's Personal Knowledge.
7.3 Patent Disclosures
The Standards Adoption Criteria provide for Patents to be pre-disclosed should a Contributor wish for an Implementation to require a license of any such Patents. More information on when and how this maybe done follows below.
7.3.1 Who must make a Patent Disclosure?
7.3.1.1 Contributor's IPR in Contribution
Any Contributor who reasonably and personally knows of Patents which the Contributor believes contain Essential Claims, or which may ultimately contain Essential Claims in respect of the Contribution, or which the Contributor has Personal Knowledge that his or her employer or sponsor may assert against any Implementations based on such Contribution, must make a Patent disclosure in accordance with this policy.
This requirement specifically includes Contributions that are made by any means including electronic or spoken comments, unless the latter are rejected from consideration before a disclosure could reasonably be submitted. A Patent discloser is requested to withdraw a previous disclosure if a revised Contribution negates the previous Patent disclosure, or to amend a previous disclosure if a revised Contribution substantially alters the previous disclosure.
Contributors must disclose Patents; there are no exceptions to this rule.
7.3.1.2 An Open Group Participant's Patent in Contributions by Third Parties
Any individual participating in an Open Group discussion who has Personal Knowledge of Patents which the individual believes contain or may ultimately contain Essential Claims in respect of a Contribution made by another person, or which such Open Group participant has Personal Knowledge that his or her employer or sponsor may assert against any Implementations based on such Contribution, must make a disclosure in accordance with this policy. 7.3.1.3 Third-Party Patents
If a person has information about Patents that may contain Essential Claims in respect of a Contribution, but the participant is not otherwise required by this policy to disclose (e.g., the Patent is owned by some other company), such person is encouraged to notify The Open Group by sending an email message to patentdisclosures(at)opengroup.org. Such a notice should be sent as soon as reasonably possible after the person realizes the connection between the Patent and the Contribution.
7.3.2 Timing of Patent Disclosures
Timely Patent disclosure is important because The Open Group needs to have as much information as they can while they are evaluating alternative solutions.
7.3.2.1 Timing of Disclosure under Section 7.3.1.1
The Patent disclosure required pursuant to Section 7.3.1.1 above must be made as soon as reasonably possible after the Contribution is made. In the case of a Contributor first learning of Patents containing Essential Claims in its Contribution (e.g., a new patent application or the discovery of a relevant patent in a patent portfolio), a disclosure must be made as soon as reasonably possible after the Patent becomes within the Contributor's Personal Knowledge.
7.3.2.2 Timing of Disclosure under Section 7.3.1.2
The Patent disclosure required pursuant to Section 7.3.1.2 above must be made as soon as reasonably possible after the Contribution is made. In the case of a participant first learning of Patents containing Essential Claims in a Contribution by another party; for example, a new patent application or the discovery of a relevant patent in a patent portfolio, after the Contribution was made by the third party, a disclosure must be made as soon as reasonably possible after the Patent becomes within the participant's Personal Knowledge.
7.3.3 How must a Disclosure be made?
Patent disclosures are made by following the instructions below and sending the information requested to The Open Group Legal Counsel.
7.3.4 What must be in a Disclosure?
The disclosure must list the numbers of any issued patents or published patent applications or indicate that the claim is based on unpublished patent applications. The disclosure must also list the specific Open Group Standard affected. In addition, if the Open Group Standard includes multiple parts and it is not reasonably apparent which part of such Open Group Standard is alleged to be affected by the Patent in question, it is helpful if the discloser identifies the sections of The Open Group Standard that are alleged to be so affected.
If a disclosure was made on the basis of a patent application (either published or unpublished), then The Open Group may request a new disclosure indicating whether any of the following has occurred: • The publication of a previously unpublished patent application
• The abandonment of the application
• The issuance of a Patent thereon
If the Patent has been issued, then the new disclosure must include the Patent number and, if the claims of the granted Patent differ from those of the application in manner material to the relevant Contribution, it is helpful if such a disclosure describes any differences in applicability to the Contribution. If the Patent application was abandoned, then the new disclosure must explicitly withdraw any earlier disclosures based on the application.
New or revised disclosures maybe made voluntarily at any time.
The requirement for a Patent disclosure is not satisfied by the submission of a blanket statement of possible Patents on every Contribution. This is the case because the aim of the disclosure requirement is to provide information about specific Patents against specific standards under discussion in The Open Group.
For the same reason, the requirement is also not satisfied by a blanket statement of willingness to license all potential Patents under fair and non-discriminatory terms. However, the requirement for an IPR disclosure is satisfied by a blanket statement of the Patent discloser's willingness to license all of its potential Patents to implementers of an Open Group specification on a royalty-free basis as long as any other terms and conditions are disclosed in the Patent disclosure statement.
7.3.5 What Licensing Information to Detail in a Disclosure
Patent disclosures should include information about licensing of the Patents in case Implementations require a license. Specifically, a disclosure should indicate whether, upon approval as an Open Group Standard, all persons will be able to obtain the right to implement, use, distribute, and exercise other rights with respect to Implementations:
• Under a royalty-free and otherwise reasonable and non-discriminatory license
• Without the need to obtain a license from the Patent holder
The inclusion of licensing information in Patent disclosures is not mandatory, but it is encouraged. If the inclusion of licensing information in a Patent disclosure would significantly delay its submission, then a disclosure without licensing information should be submitted first, followed by a new disclosure when the licensing information becomes available.
7.3.6 Failure to Disclose
There are cases where individuals are not permitted by their employers or by other factors to disclose the existence or substance of Patents (particularly, patent applications). Since disclosure is required for anyone submitting Contributions or participating in The Open Group Standards Process, a person who does not disclose Patents for this reason, or any other reason, must not contribute to or participate in relevant Open Group activities where that person has Personal Knowledge of relevant Patents which he or she knows he or she will not disclose. Contributing to or participating in Open Group discussions about the development of an Open Group Standard without making required Patent disclosures is a violation of The Open Group Standards Process.
7.4 Notification of Open Group Standards which are the Subject of Patent Disclosures
Where any such Patent is disclosed before approval as an Open Group Standard, The Open Group Manager shall include in the approval request a note indicating the existence of such claimed Patent in the standard.
The Open Group disclaims any responsibility for identifying the existence of or for evaluating the applicability of any IPR, disclosed or otherwise, to any Open Group Standard, and will take no position on the validity or scope of any such IPR claims.
Where Intellectual Property Rights have been so disclosed, the discloser shall provide a written assurance that, upon approval of the Open Group Standard by The Open Group Governing Board, all persons will be able to obtain the right to implement, use, distribute, and exercise other rights with respect to Implementations under one of the licensing options specified in Section 7.3.5 above unless such a statement has already been submitted.
When an Open Group Standard is published for which a Patent disclosure has been provided in accordance with the above, The Open Group Manager will ensure that the following notice is present in such standard:
Disclaimer of Validity: The Open Group takes no position regarding the validity or scope of any patents or other rights that might be claimed to pertain to the Implementation or use of this Open Group Standard or the extent to which any license under such rights might or might not be available; nor does it represent that it has made any independent effort to identify any such rights.
Copies of Patent disclosures made to The Open Group and any assurances of licenses to be made available, or the result of an attempt made to obtain a general license or permission for the use of such proprietary rights by implementers or users of this standard can be obtained from The Open Group Legal Counsel upon request.
The Open Group invites any interested party to bring to its attention any copyrights, patents, or patent applications, or other proprietary rights, that may cover technology that maybe required to implement this standard. Please address the information to The Open Group at patentdisclosure(at)opengroup.org.
7.5 Reasonable and Non-Discriminatory Terms
For the avoidance of doubt, The Open Group will not make any explicit determination that the assurance of reasonable and non-discriminatory terms or any other terms for the use of an Implementation has been fulfilled in practice. 8. Liaisons
Summary
This section describes procedures for individuals who are elected to serve as The Open Group liaisons to other organizations. It defines the process for establishing liaisons, appointing Liaison Representatives, and approving Liaison Statements.
Contents
8.1 Establishing Liaisons
8.2 Approving Liaison Statements
8.2 Conduct of Liaison Representatives
Human Actors
• Liaison Manager
• Liaison Representative
• The Open Group Executive Management
• The Open Group Governing Board
• External Entity
• The Open Group Director, Standards
• Forum/Work Group Chair(s)
Sub-Processes
• Establishing Liaisons
• Approving Liaison Statements
• Conduct of Liaison Representatives
8.1 Establishing Liaisons
A liaison relationship is set up with an External Entity when it is mutually agreeable and needed for some specific purpose, in the view of the other organization, The Open Group Executive Management, and The Open Group participants conducting the work.
To ensure neutrality to the greatest extent possible, designation of a member representative shall occur through an open nomination and approval process within the applicable Forum or Work Group as follows:
• The Open Group Executive Management must approve the decision to designate a member representative in advance to act as a Liaison Representative.
• The Open Group Executive Management will assign a staff member to act as the Liaison Manager.
• The Open Group Governing Board shall be given advance notice of the proposal to designate a representative from the membership to become a Liaison Representative, and given adequate time to raise objections and concerns. • The designation of the Liaison Representative shall be done through an open nomination and election process, with a minimum period for nominations of seven (7) days.
• Eligible candidates for a Liaison Representative should reflect the target composition of the liaison organization to the greatest extent possible. For example, a liaison that is composed of a buy-side organization should have a customer representative.
8.2 Approving Liaison Statements
All outgoing Liaison Statements will be copied to The Open Group Director, Standards.
For a Liaison Statement generated on behalf of a Forum or Work Group of The Open Group, the applicable Chair(s) must create a statement that reflects the consensus of the Forum or Work Group. The Chair(s) must have generated or must agree with the sending of the Liaison Statement, and must advise the Liaison Manager that the Liaison Statement is being sent by sending a draft to the appropriate Liaison Manager, who should then acknowledge receipt with an indication of approval.
8.3 Conduct of Liaison Representatives
The Liaison Representative shall at all times act in good faith and seek to both represent the best interests of The Open Group, and to do his/her best to represent what they believe to be the consensus of the Forum or Work Group which they are representing. Further, the scope of authority for voting by Liaison Representatives shall be limited to voting on subjects pertaining to the specific purpose of the liaison only.
Further guidance is provided in The Open Group Document I123, A Handbookfor Individuals Acting as The Open Group Liaison to Another Organization. 9. Invited Experts and Invited Guests
Summary
This section describes the process for managing individuals who participate in a Forum or Work Group as Invited Guests or Invited Experts. It defines the criteria for an individual to be an Invited Guest or Invited Expert, and the process for invitation and appointment.
Human Actors
• Invited Guest
• Invited Expert
• The Open Group CEO
• The Open Group VP Membership & Events
• The Open Group Legal Counsel
• The Open Group Governing Board
• Forum/Work Group Chair(s)
9.1 Criteria for Invited Guests and Experts
9.1.1 Invited Guest An Invited Guest:
Should possess recognized expertise that a Forum or Work Group needs for a specific activity
• Can be a prospect for membership
• Can be from a different category of membership
9.1.2 Invited Expert An Invited Expert:
• Must possess recognized expertise that a Forum or Work Group needs for a specific activity
• Must not be a prospect for membership
• Must not be one category of member but enjoy the benefits of a higher category by invitation
9.2 Participation of Invited Guests and Invited Experts
9.2.1 Participation of an Invited Guest
A Forum or Work Group Chair may invite an individual with a particular expertise to participate in a Forum or Work Group as an Invited Guest, and the individual may participate as an Invited Guest subject to the following being completed in advance of any participation:
• The Chair has designated the individual as an Invited Guest.
• The Open Group VP Membership & Events has agreed with the Chair's choice.
• The individual has provided a signed non-disclosure agreement, which includes IPR rules, to The Open Group Legal Counsel. 9.2.2 Participation of an Invited Expert
A Forum or Work Group Chair may invite an individual with a particular expertise to participate in a Forum or Work Group as an Invited Expert. This individual may represent an organization in the group (for example, if acting as a liaison with another organization). The individual may participate as an Invited Expert subject to the following being completed in advance of any participation:
• The Chair has designated the individual as an Invited Expert.
• The Open Group VP Membership & Events has agreed with the Chair's choice.
• The individual has provided a signed non-disclosure agreement, which includes IPR rules, to The Open Group Legal Counsel.
9.3 Designation of an Invited Guest or Invited Expert
To designate an individual as an Invited Guest or an Invited Expert in a Forum or Work Group, the Chair must inform The Open Group VP Membership & Events and provide rationale for the choice.
If the Chair and The Open Group VP Membership & Events disagree about a designation, The Open Group CEO determines whether the individual will be invited to participate in the Forum or Work Group.
The Chair should not designate as an Invited Expert in a Forum or Work Group an individual who is an employee of an Open Group member.
The Chair must not use Invited Expert status to provide member benefits to non-members.
9.4 Term Limits
An Invited Guest participates in a Forum or Work Group for a single meeting only.
An Invited Expert participates in a Forum or Work Group from the moment the individual joins the group until any of the following occurs:
• The specific activity is concluded.
• The Chair or The Open Group CEO withdraws the invitation to participate.
• The individual resigns.