The UCF_Issuers_List is a Unified Compliance Framework™ team initiative to create a simple list of authority document research sites in order for those sites to be used in any number of ways. As such, the UCF_Issuers_List is a UCF-community driven initiative sponsored by the UCF™. This document outlines the governance structure of this initiative and outlines the different roles and responsibilities of each interested party.

The UCF_Issuers_List community

The UCF_Issuers_List community is broken up into mappers, end users, XML Licensees, and the list moderator.

UCF_Issuers_List mapper community

The UCF_Issuers_List mapper community includes all officially recognized UCF mappers, reviewers, and approvers. The mapper community will be referred to throughout this and other governance documents as "mapper community" whether the contributor is an individual or is an entire officially sanctioned organization. The UCF_Issuers_List mapper community is responsible for:

• • Providing input into the research list in terms of suggesting additions, changes, and deprecations to the list

  • Submitting items for discussion regarding additions, changes, or deprecations to the naming conventions

If your organization would like to register as an official UCF Mapping Source, please contact the Network Frontiers team to do so here:

http://netfrontiers.com/ucf-mapping-process/registering-as-ucf-mapping-sou.html

UCF_Issuers_List end user community

The UCF_Issuers_List end user community includes all licensees of the UCF in end user, corporate, or OEM forms. The UCF_Issuers_List end user community is responsible for:

• • Providing input into the research list in terms of suggesting additions, changes, and deprecations to the list

  • Submitting items for discussion regarding additions, changes, or deprecations to the naming conventions

End users (whether individuals, whole organizations, or webmasters for websites) can obtain the UCF_Issuers_List in multiple formats. The UCF team maintains the most up-to-date list online at the Netfrontiers' website here:

http://netfrontiers.com/ucf-for-users/research-sites/key-authority-document-researc.html

Additions to the list can be made at the bottom of the html page listed above.

The list in Excel form is available to registered users (for free) through that site.

UCF_Issuers_List XML Licensee community

The UCF_Issuers_List XML Licensee community includes only those licensees of the UCF XML content for inclusion in their custom applications. The UCF_Issuers_List XML Licensee community is responsible for:

• • Providing a body of technical expertise representing the compliance community

  • Providing input into the UCF_Issuers_List naming conventions and XML syntax

XML Licensees will receive the UCF_Issuers_List with as a part of the normal quarterly release schedule. If you do not already, but wish to, license this list in XML format, contact Craig Isaacs at:

mailto:cisaacs@unifiedcompliance.com

UCF_Issuers_List moderator

The UCF_Issuers_List moderator is a UCF team member who monitors the on-line discussions list, group meetings, one-on-one technical discussions, and editorial suggestion database in order to build consensus among members of the UCF_Issuers_List mapper, end user, and OEM community. The reason that the moderator is a member of the UCF team is because the team itself has no vested interest in the development of the naming convention or XML syntax one way or another. Our team is simply here to harmonize compliance controls and provide workable solutions using the same. The UCF_Issuers_List moderator is responsible for:

• • Developing and maintaining the XML specification that defines the UCF_Issuers_List

  • Defining and developing document requirements for the correct usage of the UCF_Issuers_List, based upon consensus drawn from the UCF_Issuers_List community

  • Ensuring that information on all issues or proposals submitted for resolution are posted and available to all on the UCF discussion forum and maintaining a list of all open issues

  • Maintaining education and outreach programs for the UCF_Issuers_List community

The governance process

The UCF_Issuers_List moderator will ensure that issues brought forward by the UCF_Issuers_List community, whether major or minor, are open to the community for discussion for a minimum of one month. Based on the intensity and frequency of discussion on certain issues, the UCF_Issuers_List moderator may extend discussion by up to one month over the required minimum. Once an issue has been open for discussion for the minimum time period or has reached the maximum allowed, the UCF_Issuers_List moderator will summarize the issue, and advise the UCF_Issuers_List community whether a consensus has been reached or whether a vote is required.

If a vote is required, the UCF_Issuers_List moderator will distribute an issues paper to the UCF_Issuers_List community for discussion for an additional two weeks. At the end of that period, the moderator will organize a vote within the UCF_Issuers_List Community to be held over a three-day period. All members within the UCF_Issuers_List community may participate in the vote, but each vote should include a justification or explanation. The UCF_Issuers_List moderator will use an online voting system to automatically tally votes and post the recommendation to the UCF_Issuers_List community. The decision will be not be open to appeal unless there is only a 51% vote split. In such a case, the discussion will be re-opened for three days following the publication of the finding. If no appeals are filed, then the decision is final as of the start of the fifth business day following publication.

Intellectual Property Rights and Usage Rights

No UCF_Issuers_List community member shall have any obligation whatsoever to offer any suggestions, contributions or other input to the Unified Compliance Framework technical or other process regarding content, process or specifications or any other Unified Compliance Framework work product (collectively, "UCF Product"). To the extent that any UCF_Issuers_List community member elects to make any suggestions, contributions or other input (collectively, "Contributions"), the following rules shall apply:

1. The copyright for all UCF Product shall belong to Unified Compliance Framework.

2. Each UCF_Issuers_List community member making a Contribution (acting as a "Contributor") shall retain copyright ownership of its original Contribution, while at the same time granting the Unified Compliance Framework a non-exclusive, irrevocable, worldwide, perpetual, sublicenseable royalty-free license under the Contributor's copyrights in its Contribution to reproduce, distribute, publish, display, perform, and create derivative works of the Contribution based on that original Contribution for the purpose of developing draft or final UCF Product under the Unified Compliance Framework's own copyright. The Unified Compliance Framework shall be free to sublicense such copyrights to implementers of the UCF Product as may be necessary to fully implement the UCF Product.

3. By making a Contribution, each Contributor shall be representing and warranting that it is not aware that its Contribution violates any copyright, patent right, or other intellectual property right of any third party.

4. Neither Contributors nor any other participants in Unified Compliance Framework activities will be expected to reveal trade secret information in the course of participation, nor will they be asked by Unified Compliance Framework to sign non-disclosure agreements. Unified Compliance Framework will not be held responsible for the disclosure of any Contributor's or other participant's trade secrets, regardless of the circumstances. Except as otherwise agreed in writing, neither Unified Compliance Framework, any of the Contributors, nor any other participant in any Unified Compliance Framework activity shall have any obligation, expressed or implied, to maintain any information disclosed by any Contributor or Individual or other participant in any Unified Compliance Framework activity, and the identity of the Contributor disclosing such information may be incorporated into a draft or final UCF Product and distributed or published freely.

5. Unified Compliance Framework reserves the right to require that a Contributor enter into such Contribution form or other agreement as Unified Compliance Framework may from time to time use in connection with Contributions to more fully address any intellectual property rights that may be contained in, or infringed by, a Contribution.

6. UCF_Issuers_List end user community members may download the UCF_Issuers_List in Excel format from the Netfrontiers website and use it in any manner they see fit as long as a simple copyright notice ("Copyright Unified Compliance Framework™, all rights reserved") is maintained in visible form on the document or is referenced if the document is included as a part of another document.

7. UCF_Issuers_List XML Licensees will receive regular updates to the UCF_Issuers_List as a part of their quarterly updates. What your particular organization can and cannot do with the UCF_Issuers_List in XML format is outlined in your individual contract.