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Open Source Compliance Program¤

Introduction¤

The Hop3 Programme’s Open Source Compliance Program is designed to align with ISO/IEC 5230, the international standard for open source license compliance. By adopting this standard, the Hop3 Programme ensures trust, transparency, and reliability in its software development and distribution processes. This program provides clear policies and procedures to guide contributors, developers, and stakeholders in understanding and adhering to open source licensing requirements.

Objectives¤

The primary objectives of the Hop3 Programme Open Source Compliance Program are:

  1. Compliance: To fulfill all obligations under applicable open source licenses, minimizing legal and reputational risks.
  2. Transparency: To clearly document and communicate the use of open source software components within the Hop3 Programme.
  3. Education: To provide training and resources to contributors, ensuring they understand their responsibilities related to open source software.
  4. Continuous Improvement: To regularly evaluate and enhance compliance practices, aligning with the latest developments in open source standards and best practices.

Scope¤

This program applies to all facets of the Hop3 Programme project, specifically:

  • Distributed Software: All software distributed externally, including releases containing open source components.
  • Third-Party Open Source Components: Any open source libraries or tools integrated into the Hop3 Programme.
  • Contributions to External Projects: Contributions made to other open source projects under the Hop3 Programme name or on behalf of its organization.

The program excludes internal tools and experimental software not intended for external distribution, unless explicitly stated otherwise.

This document consolidates all relevant policies, procedures, and responsibilities into a single reference point, simplifying adherence to open source compliance requirements and streamlining communication across the organization.

Program Foundation¤

A robust foundation is critical for the success of the Hop3 Programme Open Source Compliance Program. This section outlines the core components that ensure the program’s effectiveness and alignment with ISO/IEC 5230.

Open Source Policy¤

The Hop3 Programme operates under a comprehensive Open Source Policy that provides a clear framework for the use, distribution, and contribution of open source components within the project. This policy is designed to ensure compliance with legal requirements, foster innovation, and promote collaboration while safeguarding the project’s integrity and reputation.

The key elements of the Open Source Policy include:

License Compliance¤

  • Establishes strict guidelines for selecting open source components based on compatibility with project objectives and legal requirements.
  • Mandates thorough review and approval of licenses associated with open source software to ensure compliance with obligations such as attribution, source code availability, and redistribution terms.
  • Maintains a record of open source licenses used, including their obligations and any changes over time.

Contributions¤

  • Defines clear rules for contributing to external open source projects, ensuring that all contributions are reviewed and approved by designated personnel.
  • Requires contributors to follow the community guidelines and licensing requirements of the target open source projects.
  • Encourages collaboration with upstream communities to maximize the impact and visibility of contributions while mitigating risks of duplication or rejection.

Transparency¤

  • Ensures comprehensive documentation of all open source software used in the project, including dependencies, versioning, and associated licenses.
  • Commits to providing necessary compliance artifacts (e.g., Software Bill of Materials, attribution files) with all distributed products, in accordance with the terms of the respective licenses.
  • Promotes transparency by making the Hop3 Programme’s own contributions and licensing information publicly available where feasible.

Security and Risk Management¤

  • Implements a robust evaluation process for third-party open source components to assess their security, stability, and ongoing maintenance status.
  • Integrates automated tools for vulnerability scanning and license risk detection into the development workflow to proactively identify and address potential issues.
  • Establishes a process for reviewing and remediating non-compliance or security vulnerabilities in open source dependencies.

Training and Awareness¤

  • Provides ongoing training for team members on the principles and practices of open source compliance, including the legal and operational implications of using open source software.
  • Ensures all team members and contributors understand the policy’s requirements and know how to access relevant documentation and resources.

Review and Update¤

  • Conducts periodic reviews of the Open Source Policy to ensure alignment with evolving legal requirements, industry standards, and project needs.
  • Updates the policy as necessary and communicates changes to all stakeholders promptly.

This Open Source Policy is a cornerstone of the Hop3 Programme’s commitment to responsible and innovative use of open source software. By adhering to this policy, the Hop3 Programme ensures compliance, fosters trust, and actively contributes to the open source ecosystem.

Communication and Awareness¤

Effective communication and awareness are essential to ensure that all team members, contributors, and stakeholders understand and adhere to the Hop3 Programme’s Open Source Policy. The Hop3 Programme has implemented a structured communication strategy designed to foster awareness, enhance understanding, and encourage active engagement with the principles of open source compliance and collaboration.

Training Sessions¤

  • Conduct regular workshops, tutorials, and webinars tailored to different audiences, such as developers, administrators, and project managers.
    • Developer-focused training includes hands-on sessions on open source license compliance, integrating open source components, and contributing to external projects.
    • Administrative training covers record-keeping, compliance documentation, and license risk assessment.
    • Advanced topics are addressed for specialized roles, such as legal compliance teams or open source community managers.
  • New team members undergo an onboarding program that introduces the Open Source Policy, emphasizing its significance and practical application.
  • Provide certification opportunities or badges for team members who complete comprehensive training in open source compliance.

Documentation Access¤

  • Maintain an internal repository for policy documents, guidelines, and best practices, ensuring they are easily accessible to all team members.
    • This includes FAQs, quick-reference guides, and detailed workflows for integrating open source components into projects.
  • Make selected compliance-related resources publicly available on the project’s website, such as:
    • Guidelines for contributors.
    • Licensing information for external stakeholders.
    • Steps to fulfill license obligations.
  • Use modern documentation tools (e.g., wikis, searchable databases) to ensure content is organized, searchable, and user-friendly.

Periodic Updates¤

  • Establish a process for routine reviews of the Open Source Policy and related procedures, ensuring they remain up-to-date with evolving legal, industry, and project requirements.
  • Communicate changes effectively through email bulletins, team meetings, and the internal documentation repository.
  • Summarize updates with a focus on actionable insights and impact, making it easier for stakeholders to understand and adopt new procedures.
  • Provide examples or case studies during updates to illustrate the practical application of policy changes.

Engagement Tools¤

  • Use interactive tools such as quizzes or simulations to reinforce understanding of open source compliance requirements.
  • Facilitate open discussions through team meetings or online forums, where team members can share insights, raise concerns, and propose improvements to the Open Source Policy.
  • Encourage feedback loops by allowing team members to provide suggestions for improving policy communication and compliance practices.

Awareness Campaigns¤

  • Launch periodic awareness campaigns highlighting key aspects of the Open Source Policy, such as:
    • Importance of license compliance.
    • Success stories of open source contributions.
    • Common pitfalls and how to avoid them.
  • Use visual aids like infographics, flowcharts, and videos to simplify complex compliance concepts and workflows.

By embedding communication and awareness into its organizational practices, the Hop3 Programme ensures that the Open Source Policy is not only understood but actively embraced by all team members. This approach fosters a culture of accountability, collaboration, and continuous improvement, which are essential for effective open source compliance.

Roles and Responsibilities¤

Clearly defined roles and responsibilities are essential to the success of the Hop3 Programme’s Open Source Compliance Program. These roles ensure accountability, effective execution, and alignment with the project’s open source policy. The following key roles are central to the program:

Key Roles¤

  • Compliance Officer
    • Responsible for overseeing the implementation, maintenance, and continuous improvement of the compliance program.
    • Ensures that compliance policies are enforced and integrated into all relevant workflows.
    • Acts as the primary point of contact for compliance inquiries, audits, and reporting.
  • Legal Advisor
    • Provides expert guidance on open source licensing and regulatory requirements.
    • Reviews and approves licenses for new open source components and contributions.
    • Assists in resolving compliance issues, such as license conflicts or non-conformance cases.
  • Technical Leads
    • Ensure their teams adhere to open source compliance policies during software development and integration.
    • Facilitate open source component reviews and maintain accurate records of component usage.
    • Collaborate with the Compliance Officer to implement approved tools and workflows for compliance.
  • Contributors
    • Follow the Open Source Policy when integrating third-party components into the Hop3 Programme or contributing to external projects.
    • Document and communicate any licensing requirements or changes associated with their work.
    • Participate in training sessions and remain updated on the project’s compliance policies.

Competency and Preparation¤

The Hop3 Programme maintains a competency matrix to define, assess, and document the necessary skills, awareness levels, and expertise for each role. This matrix includes:

  • Competency Requirements:
    • Knowledge of relevant open source licenses (e.g., GPL, MIT, Apache).
    • Understanding of compliance workflows, such as creating Software Bill of Materials (SBOMs) or responding to inquiries.
    • Familiarity with tools for tracking and auditing open source usage.
  • Competency Assessment:
    • Periodic evaluations to ensure all program participants possess the required skills and knowledge.
    • Tailored training programs to address skill gaps identified during assessments.
  • Documentation
    • A record will be kept demonstrating that each participant has the required competence.
    • A record will be kept demonstrating that each participant has received documented awareness training.

Awareness and Accountability¤

  • Each role is accountable for contributing to the program’s success within their area of responsibility.
  • Documentation of roles and responsibilities is maintained in an accessible format, ensuring clarity for all stakeholders.
  • Regular performance reviews and feedback loops are implemented to identify areas for improvement and recognize achievements in compliance adherence.

By defining and documenting roles and responsibilities, the Hop3 Programme establishes a robust framework for collaboration, accountability, and continuous improvement in open source compliance. This structured approach ensures that all team members and contributors are equipped to uphold the integrity and effectiveness of the compliance program.

Scope and Limits¤

The Hop3 Programme Open Source Compliance Program operates within a clearly defined scope to ensure focused and effective compliance efforts. This scope is outlined in a written statement that is regularly reviewed and updated as necessary to reflect the evolving nature of the project. The scope and limits are accessible to all stakeholders to maintain transparency and understanding across the organization.

Inclusion Criteria¤

The program encompasses all software components that meet the following criteria:

  • Externally Distributed Software:
    • Components included in releases of the Hop3 Programme platform.
    • Standalone applications or tools distributed alongside the Hop3 Programme.
    • Open source contributions made by the Hop3 Programme team to external projects.
  • Open Source Dependencies:
    • Third-party open source libraries or frameworks integrated into the Hop3 Programme.
    • Software that triggers obligations under open source licenses (e.g., GPL, LGPL, AGPL).
  • Compliance Artifacts:
    • Accompanying materials, such as Software Bills of Materials (SBOMs), license notices, and source code, required for compliance with identified licenses.

Exclusion Criteria¤

Certain categories of software are excluded from the program unless explicitly stated otherwise:

  • Internal Tools:
    • Tools or scripts developed solely for internal use and not distributed externally.
  • Experimental Software:
    • Prototypes or experimental code that is not yet included in public releases.
  • Third-Party Software Outside Scope:
    • Proprietary software or third-party components distributed under non-open source licenses that do not interact with open source components in ways that trigger compliance obligations.

Program Boundaries¤

The scope statement also defines the limits of the compliance program:

  • Geographic Boundaries: Applies to software distributed globally, taking into account regional licensing and regulatory requirements.
  • Lifecycle Coverage: Covers components from development through distribution, including updates, but does not extend to end-user modifications beyond the Hop3 Programme’s distribution obligations.

Accessibility of the Scope Statement¤

The written scope statement is:

  • Maintained in an accessible repository, such as the Hop3 Programme internal documentation site and public compliance documentation.
  • Reviewed annually or in response to significant project changes to ensure continued relevance and accuracy.
  • Communicated to all team members and contributors during onboarding and regular compliance training sessions.

By clearly defining the scope and limits of the Open Source Compliance Program, the Hop3 Programme ensures that all relevant components are subject to compliance procedures, while avoiding unnecessary complexity for software that falls outside the program’s boundaries. This targeted approach facilitates efficient and effective compliance management.

Reviewing License Obligations¤

The Hop3 Programme follows a structured and comprehensive procedure to ensure that all obligations, restrictions, and rights associated with open source licenses are thoroughly reviewed and complied with. This process is critical to maintaining legal and operational integrity while using and distributing open source software.

License Identification¤

The process begins with identifying the licenses associated with every open source component used or distributed by the Hop3 Programme. This includes:

  • Component Inventory: Maintaining an up-to-date list of all open source components and their versions.
  • License Mapping: Documenting the license type for each component (e.g., MIT, GPL, Apache 2.0).
  • Verification: Cross-referencing license information with reliable sources, such as the Nixpkgs repository or the SPDX License List, to ensure accuracy.

Obligation Assessment¤

Once licenses are identified, their specific requirements are analyzed to understand the obligations and restrictions they impose:

  • Distribution Requirements: Determining obligations for providing source code, license notices, or additional documentation.
  • Compatibility Checks: Ensuring that the integration of different components complies with license compatibility requirements (e.g., avoiding conflicts between permissive and copyleft licenses).
  • Attribution Obligations: Identifying and implementing proper attribution where required by licenses such as BSD, Apache 2.0, or MPL.
  • Redistribution Conditions: Understanding requirements for derivative works or modifications, particularly for strong copyleft licenses like GPL and AGPL.

Documentation and Record-Keeping¤

Detailed records are maintained at every stage of the license review process to ensure traceability and accountability:

  • License Reviews: Documenting the analysis of each license, including key obligations, risks, and mitigation actions.
  • Compliance Records: Archiving relevant artifacts, such as SBOMs, license texts, and notices, to demonstrate compliance with distribution obligations.
  • Audit Trail: Ensuring that all license reviews and decisions are logged and available for internal or external audits.

Automated Support Tools¤

To streamline and enhance the accuracy of the review process, the Hop3 Programme leverages automated tools:

  • Dependency Scanners: Tools such as FOSSology or OpenChain-conformant solutions to identify and analyze licenses in source code and binaries.
  • SBOM Generators: Systems like Genealogos for creating and maintaining a comprehensive Software Bill of Materials (SBOM) that includes license information.

Ongoing License Monitoring¤

To ensure continued compliance, the Hop3 Programme regularly revisits and updates its license reviews:

  • Updates and Changes: Monitoring updates to components for license changes or new obligations.
  • Emerging Licenses: Staying informed about new or revised open source licenses that may impact the project.

By rigorously reviewing and documenting license obligations, the Hop3 Programme ensures compliance with open source licenses, reduces legal risks, and maintains the trust of its user and contributor community. This structured approach allows for confident integration and distribution of open source software while adhering to industry best practices.

Relevant Tasks Defined and Supported¤

External Compliance Inquiries¤

The Hop3 Programme ensures transparency and responsiveness in addressing external open source compliance inquiries by assigning this responsibility to a designated Compliance Officer. This individual acts as the primary contact point for external stakeholders and is publicly identified on the project’s website, fostering trust and accountability.

Procedure¤

A structured process is in place to manage external compliance inquiries:

  • Logging: All inquiries are recorded in a centralized tracking system to ensure traceability and accountability.
  • Assignment: Each inquiry is assigned to the appropriate personnel, such as the Compliance Officer, Legal Advisor, or Technical Lead, based on its nature and complexity.
  • Acknowledgment: Acknowledgment of receipt is sent to the inquirer promptly, along with an estimated timeline for resolution.

Resolution¤

The Hop3 Programme adopts a clear and consistent approach to resolving compliance concerns:

  • Evaluation: The inquiry is reviewed to determine its validity, scope, and potential implications for the project.
  • Action Plan: A resolution plan is developed, detailing the steps required to address the issue, whether it involves updating compliance artifacts, modifying documentation, or addressing component usage.
  • Execution: The plan is implemented, and any required changes are communicated to relevant stakeholders.

Response and Archiving¤

A documented response is provided to the inquirer, outlining:

  • The actions taken to address the issue.
  • Any relevant supporting materials, such as updated compliance artifacts or process improvements.
  • Opportunities for follow-up or further clarification.

All inquiries, responses, and resolutions are archived in the tracking system to:

  • Maintain a detailed audit trail.
  • Ensure compliance with the Open Source Policy.
  • Identify recurring issues and improve processes proactively.

This structured approach ensures that the Hop3 Programme maintains open communication with external stakeholders, fosters trust in its open source compliance practices, and continuously enhances its processes based on feedback and emerging needs.

Internal Responsibilities¤

The Hop3 Programme has established a robust internal framework to ensure open source compliance, with clearly defined roles, responsibilities, and resources to support the program’s success.

Staffing and Funding¤

  • Each role within the compliance program is adequately staffed to meet its obligations. The Compliance Officer, Legal Advisor, Technical Leads, and other team members have clearly outlined duties and sufficient time allocated to perform them effectively.
  • Funding is allocated to ensure access to necessary tools, training, and legal or technical resources, supporting ongoing compliance and addressing emerging requirements.
  • A Legal Advisor with expertise in open source licensing and compliance is an integral part of the program. This individual:
    • Provides guidance on complex licensing issues.
    • Reviews software components for compatibility and compliance with licensing terms.
    • Assists in drafting policies, contracts, and other legal documents related to open source use and distribution.
    • Advises on risks and mitigation strategies to prevent non-compliance.

Compliance Tasks¤

  • All team members engaged in open source development and operations are assigned specific compliance-related tasks, such as:
    • Component Vetting: Reviewing and approving the use of open source components in line with the Open Source Policy.
    • License Review: Identifying, analyzing, and documenting license obligations for each open source component.
    • Compliance Artifacts: Creating and maintaining artifacts such as SBOMs (Software Bill of Materials), attributions, and license texts required for software distribution.
    • Issue Resolution: Collaborating with the Compliance Officer and Legal Advisor to address non-compliance cases or external inquiries.

Support and Tools¤

  • Team members are equipped with tools and resources to facilitate compliance tasks, such as:
    • License scanners for detecting and analyzing open source components.
    • Tracking systems for managing compliance artifacts and inquiries.
    • Access to a centralized knowledge base containing policies, procedures, and best practices.

By defining responsibilities, ensuring adequate staffing and funding, and providing specialized expertise and tools, the Hop3 Programme’s compliance program promotes accountability, clarity, and efficiency in adhering to open source requirements.

Handling Non-Compliance¤

The Hop3 Programme has implemented a clear and structured procedure to address cases of non-compliance with open source license obligations. This process ensures that issues are identified promptly, resolved effectively, and documented comprehensively to prevent recurrence and support future audits.

Identification¤

  • Audits and Testing: Regular internal audits and automated compliance tools are used to identify potential non-compliance in software components, documentation, or distribution practices.
  • Issue Reporting: Team members are encouraged to report suspected non-compliance issues through a designated reporting mechanism, ensuring transparency and accountability.

Remediation¤

  • Analysis and Action Plan: Upon identifying a non-compliance issue, the Compliance Officer, in collaboration with the Legal Advisor and relevant Technical Leads, analyzes the problem and formulates an action plan.
    • Common remediation actions include:
      • Revising or completing missing documentation, such as license attributions or compliance artifacts.
      • Updating software components to align with license requirements.
      • Replacing or removing non-compliant components from the codebase.
    • For complex cases, external legal or technical expertise may be consulted to ensure an accurate resolution.
  • Implementation: The agreed remediation actions are implemented by the responsible team members under the supervision of the Compliance Officer to ensure adherence to the Open Source Policy.

Documentation¤

  • Detailed Records: Each non-compliance case is thoroughly documented, including:
    • The nature of the issue and how it was identified.
    • The analysis performed and the resolution process.
    • The specific actions taken and their outcomes.
  • Audit Support: These records are archived systematically, providing a reliable history for internal reviews, external audits, or certification processes.
  • Preventive Measures: Insights from non-compliance cases are used to update policies, improve training, and enhance tools to minimize the likelihood of similar issues in the future.

By combining proactive identification, structured remediation, and thorough documentation, the Hop3 Programme ensures that non-compliance is addressed swiftly and effectively, reinforcing trust in its open source compliance program.

Open Source Content Review and Approval¤

Tracking and Archiving¤

To ensure compliance with open source licenses, the Hop3 Programme maintains a systematic approach to tracking and archiving information about all open source components used within its projects. This robust process enhances transparency and accountability, enabling effective management of licensing obligations.

Component Records¤

  • Metadata Documentation: Each open source component is documented with detailed metadata, including:
    • Name and version of the component.
    • Origin (e.g., source repository or distribution channel).
    • License type and specific obligations.
    • Purpose and scope of usage within the Hop3 projects.
    • Any modifications made to the component.
  • Centralized Records: All metadata is stored in a centralized compliance management system, ensuring easy access for team members, auditors, and external stakeholders.

Archival Process¤

  • Central Repository: A secure, centralized repository is used to archive all records related to open source components. This repository ensures long-term accessibility and serves as the single source of truth for compliance documentation.
  • Retention Policy: Records are retained for the duration of the software’s lifecycle and as required by the applicable licenses, ensuring ongoing compliance with obligations such as source code availability and attribution requirements.
  • Version History: All updates to component records are logged, providing a complete version history to track changes and maintain an audit trail.

By implementing these tracking and archiving practices, the Hop3 Programme ensures that its open source usage remains fully transparent and easily auditable, fostering confidence in its compliance program.

License Use Cases¤

The Hop3 Programme’s compliance program is designed to address the diverse scenarios in which open source licenses impose specific obligations. This ensures that all use cases involving open source components are managed in full alignment with licensing requirements.

Binary Distribution¤

  • License Inclusion: All binary distributions include the appropriate license files, notices, and disclaimers as required by the licenses governing the distributed components.
  • Attribution Statements: Clear attribution is provided in documentation, UI, or other relevant outputs to credit the original authors and contributors.

Source Distribution¤

  • Availability of Source Code: For licenses that mandate source code distribution (e.g., GPL), the Hop3 Programme ensures that source code is made available alongside binaries or via a clearly communicated URL.
  • Version Matching: Source code distributed corresponds precisely to the binaries provided, avoiding inconsistencies.

Modified Components¤

  • Documentation of Changes: Modifications to open source components are meticulously documented, including details about the changes and their impact on functionality.
  • Compliance with Derivative Work Obligations: Where licenses impose obligations on derivative works (e.g., copyleft licenses), these are fully adhered to, ensuring redistribution complies with license terms.

Attribution¤

  • Required Notices: All required license notices, copyright statements, and disclaimers are included in distributions and documentation.
  • Centralized Attribution File: The Hop3 Programme maintains a centralized attribution file or directory within its software distributions to consolidate all necessary acknowledgments for ease of reference.

Integration with Other Software¤

  • Compatibility Assessment: Before integrating any open source component, a compatibility assessment is performed to ensure that the chosen license does not conflict with other licenses already in use or with the Hop3 Programme’s own licensing practices.
  • Mitigation Strategies: When potential incompatibilities are identified, mitigation strategies are employed, such as:
    • Choosing alternative components with compatible licenses.
    • Isolating components through clear interfaces to limit the scope of certain license obligations.
    • Seeking legal advice to understand the implications and potential solutions for complex licensing scenarios.

By proactively addressing these common use cases, the Hop3 Programme ensures that its use of open source software remains compliant, transparent, and respectful of the rights of open source contributors.

Compliance Artifact Creation and Delivery¤

Compliance Artifacts¤

The Hop3 Programme follows a rigorous process to create, distribute, and archive Compliance Artifacts, ensuring adherence to all relevant open source license requirements.

Creation¤

  • Content Accuracy: Compliance Artifacts include all necessary license files, copyright notices, attribution statements, and any additional obligations specified by the licenses governing included open source components.
  • Automated Generation: Tools are used to automatically generate compliance documentation during the software build process, reducing manual errors and ensuring consistency across releases.
  • Component-Specific Details: Each artifact includes detailed information about individual components, such as the license type, version, and usage within the software.

Distribution¤

  • Bundled Delivery: Compliance Artifacts are distributed alongside the software to ensure users receive the necessary licensing information at the point of acquisition.
  • Online Availability: For larger or complex distributions, Compliance Artifacts are hosted online, with links or references included in the software documentation to ensure accessibility.

Archival¤

  • Retention Policy: Compliance Artifacts are archived in a centralized repository for as long as the associated software is distributed, ensuring long-term compliance and traceability.
  • Version Control: Historical Compliance Artifacts are maintained for each software version to provide a clear audit trail and to facilitate legal and technical reviews when necessary.

By ensuring meticulous creation, transparent distribution, and secure archival of Compliance Artifacts, the Hop3 Programme aligns with best practices for open source license compliance and fosters trust within the user and contributor communities.

Open Source Community Engagement¤

Contribution Policy¤

The Hop3 Programme encourages active participation in the open source community while ensuring compliance with organizational policies and legal obligations. The contribution policy outlines clear guidelines for staff and contributors engaging with external projects.

Approval Workflow¤

  • Pre-Submission Review: All proposed contributions undergo a review process conducted by the Compliance Officer or designated approver to ensure alignment with the Hop3 Programme’s goals and adherence to licensing and legal requirements.
  • Change Documentation: Contributions must include proper documentation of changes, including details of the purpose, modifications made, and associated license information.

Staff Awareness¤

  • Training Programs: Regular workshops and tutorials educate team members on the contribution policy, licensing requirements, and best practices for interacting with open source projects.
  • Accessible Documentation: Contributors are provided with clear and accessible documentation outlining the steps for submitting contributions and addressing potential conflicts.

Community Support and Participation¤

The Hop3 Programme actively engages with the open source community to foster collaboration and transparency, promoting a culture of mutual benefit.

  • Participation in Projects: Team members are encouraged to participate in upstream projects by reporting bugs, submitting patches, and sharing feedback.
  • Community Representation: The Hop3 Programme designates representatives to attend and present at community events, conferences, and workshops to showcase contributions and exchange knowledge.
  • Collaborative Development: The Hop3 Programme prioritizes partnerships with other organizations and contributors to co-develop features, fix issues, and address shared challenges.

Code of Conduct¤

The Hop3 Programme upholds a strong commitment to fostering a positive and inclusive community environment.

  • Guidelines for Interaction: All interactions, whether internal or with external communities, adhere to a defined code of conduct promoting respect, inclusivity, and collaboration.
  • Enforcement Mechanism: A documented procedure is in place to address violations of the code of conduct, ensuring a fair and transparent resolution process.

By adhering to a well-structured contribution policy, actively engaging with the open source community, and promoting an inclusive culture, the Hop3 Programme ensures its role as a responsible and collaborative participant in the open source ecosystem.

Conformance Review¤

The Hop3 Programme conducts regular reviews of its Open Source Compliance Program to maintain alignment with the ISO/IEC 5230 standard. These reviews are performed at least once every 18 months and cover all aspects of the compliance program, including policies, procedures, and documentation.

Review Scope¤

  • Policy Updates: Evaluates the relevance and effectiveness of the Open Source Policy and updates it as necessary to reflect evolving best practices or changes in licensing requirements.
  • Procedures Audit: Assesses the documented procedures for compliance tasks, ensuring they remain accurate and actionable.
  • Role Effectiveness: Reviews the roles and responsibilities within the compliance program to ensure adequate staffing, funding, and expertise.

Documentation and Transparency¤

  • Archived Records: All review findings, updates, and resolutions are documented and archived in the centralized compliance repository, ensuring full transparency and accountability.
  • Audit Readiness: Documentation from conformance reviews is organized to facilitate external audits or assessments, providing a clear and traceable record of compliance activities.

Continuous Improvement¤

  • Stakeholder Feedback: Incorporates feedback from staff, contributors, and external stakeholders to identify areas for improvement.
  • Actionable Outcomes: Develops and implements action plans based on review findings to enhance the program’s efficiency and effectiveness.

By committing to periodic reviews and continuous improvement, the Hop3 Programme ensures the ongoing conformance of its Open Source Compliance Program with ISO/IEC 5230, reinforcing its dedication to best practices and legal compliance.

Annex: Self-Assessment¤

Here are the answers to the OpenChain ISO/IEC 5230 Self-Certification Questionnaire for the Hop3 Programme’s Open Source Compliance Program. The answers demonstrate the Hop3 Programme’s commitment to adhering to the OpenChain standard, which is the international standard for open source license compliance. Each answer is directly linked to specific sections within the Hop3 Programme’s comprehensive Open Source Compliance Program document, showcasing a robust and well-defined framework for managing open source usage, contributions, and compliance.

The following responses are based on a thorough review of the Hop3 Programme’s program documentation and reflect the programme’s dedication to transparency, accountability, and best practices in open source compliance.

Section 1: Program Foundation

  1. Documented Policy: YES. Section 2.1: Open Source Policy clearly establishes a comprehensive policy.
  2. Communication Procedure: YES. Section 2.2: Communication and Awareness outlines procedures for communicating the policy to all staff.
  3. Identified Roles and Responsibilities: YES. Section 2.3: Roles and Responsibilities defines key roles and their responsibilities.
  4. Identified Competencies: YES. Section 2.3: Competency and Preparation outlines the required competencies for each role.
  5. Documented Competence: YES. Section 2.3: Competency and Preparation states that a record of competence will be maintained for each participant.
  6. Documented Awareness: YES. Section 2.3: Competency and Preparation states that a record will be kept demonstrating that each participant has received documented awareness training. Section 2.2: Training Sessions and Awareness Campaigns ensure that program participants are aware of the policy, objectives, contributions, and implications of non-compliance.
  7. Process for Determining Scope: YES. Section 2.4: Scope and Limits defines the process for determining the program’s scope.
  8. Written Scope Statement: YES. Section 2.4: Accessibility of the Scope Statement ensures the scope is clearly defined in writing and accessible.
  9. Procedure to Review License Obligations: YES. Section 2.5: Reviewing License Obligations details the procedure for reviewing and documenting license obligations.

Section 2: Relevant Tasks Defined and Supported

  1. Assigned Responsibility for Inquiries: YES. Section 3.1: External Compliance Inquiries assigns the Compliance Officer responsibility for handling external inquiries.
  2. Publicly Identified Contact: YES. Section 3.1: Transparency and Responsiveness states that the contact will be publicly identified.
  3. Procedure for Inquiries: YES. Section 3.1: Procedure and Resolution detail the procedure for receiving and responding to inquiries.
  4. Documented Support for Roles: YES. Section 2.3: Roles and Responsibilities and Section 3.2: Compliance Tasks document the persons, group, or function supporting the program roles.
  5. Properly Staffed and Funded: YES. Section 3.2: Staffing and Funding ensures that roles are properly staffed and adequately funded.
  6. Identified Legal Expertise: YES. Section 3.2: Legal Expertise identifies the role of the Legal Advisor.
  7. Procedure for Internal Responsibilities: YES. Section 3.2: Compliance Tasks outlines the procedure for assigning internal responsibilities.
  8. Procedure for Non-Compliance: YES. Section 3.3: Handling Non-Compliance details the procedure for handling non-compliance cases.

Section 3: Open Source Content Review and Approval

  1. Procedure for Tracking Components: YES. Section 4.1: Tracking and Archiving defines the procedure for identifying, tracking, and archiving information about open source components.
  2. Component Records: YES. Section 4.1: Component Records ensures that component records demonstrate the procedure was followed.
  3. Procedure for License Use Cases: YES. Section 4.2: License Use Cases details the procedures for handling common open source license use cases.

Section 4: Compliance Artifact Creation and Delivery

  1. Procedure for Distributing Artifacts: YES. Section 5.1: Creation and Distribution outlines the procedure for distributing compliance artifacts.
  2. Procedure for Archiving Artifacts: YES. Section 5.1: Archival defines the procedure for archiving compliance artifacts.
  3. Artifacts Archived Appropriately: YES. Section 5.1: Retention Policy ensures that artifacts are archived for the appropriate duration.

Section 5: Understanding Open Source Community Engagements

  1. Contribution Policy: YES. Section 6.1: Contribution Policy establishes a policy for open source contributions.
  2. Procedure for Contributions: YES. Section 6.1: Approval Workflow details the procedure for governing contributions.
  3. Procedure for Staff Awareness: YES. Section 6.1: Staff Awareness outlines the procedure for making staff aware of the contribution policy.

Section 6: Adherence to the Specification Requirements

  1. Documentation of Program Meeting Requirements: YES. Section 7: Conformance Review, and the entire document, demonstrate that the program meets the requirements of the specification. The Annex: Self-Assessment also maps each section to the questionnaire.
  2. Documentation of Conformance Review: YES. Section 7: Conformance Review and Continuous Improvement ensures that conformance is reviewed within the last 18 months and documented.