<div dir="ltr"><div dir="ltr"><span id="gmail-docs-internal-guid-23019d12-7fff-6ac1-14fa-3eee7deed7a9" style="font-family:-webkit-standard"><p dir="ltr" style="line-height:1.38;margin-top:12pt;margin-bottom:12pt"><span style="color:rgb(34,34,34);font-size:11pt;font-family:Arial;background-color:transparent;font-variant-ligatures:normal;font-variant-east-asian:normal;vertical-align:baseline;white-space:pre-wrap">Hi, here is the IPC input on the </span><span style="text-decoration:underline;font-size:11pt;font-family:Arial;background-color:transparent;font-variant-ligatures:normal;font-variant-east-asian:normal;text-decoration-skip:none;vertical-align:baseline;white-space:pre-wrap"><a href="https://docs.google.com/document/d/1uoolznpxb0JxddFZA5n9ueRkB4tjDOQQCoMeQWpbiSc/edit" style="color:rgb(0,0,0);text-decoration:none">SSAD Worksheet</a></span></p><p dir="ltr" style="color:rgb(0,0,0);line-height:1.38;margin-top:12pt;margin-bottom:12pt"><span style="font-size:11pt;font-family:Arial;color:rgb(34,34,34);background-color:transparent;font-weight:700;font-variant-ligatures:normal;font-variant-east-asian:normal;vertical-align:baseline;white-space:pre-wrap">General</span></p><ul style="color:rgb(0,0,0);margin-top:0pt;margin-bottom:0pt"><li dir="ltr" style="list-style-type:disc;font-size:11pt;font-family:Arial;background-color:transparent;font-variant-ligatures:normal;font-variant-east-asian:normal;vertical-align:baseline;white-space:pre"><p dir="ltr" style="line-height:1.38;margin-top:0pt;margin-bottom:0pt"><span style="font-size:11pt;background-color:transparent;font-variant-ligatures:normal;font-variant-east-asian:normal;vertical-align:baseline;white-space:pre-wrap">The "Introduction" text on page 6 should specify our objective is to agree to recommendations and policy related to the sharing of non-public registration data, not “rules and requirements”.  </span></p></li><li dir="ltr" style="list-style-type:disc;font-size:11pt;font-family:Arial;background-color:transparent;font-variant-ligatures:normal;font-variant-east-asian:normal;vertical-align:baseline;white-space:pre"><p dir="ltr" style="line-height:1.38;margin-top:0pt;margin-bottom:0pt"><span style="font-size:11pt;background-color:transparent;font-variant-ligatures:normal;font-variant-east-asian:normal;vertical-align:baseline;white-space:pre-wrap">We believe that we should not pre-suppose or assume the use of a code of conduct at this point in time.  There may be other options available to us that will allow us to achieve the same goal.  </span></p></li><li dir="ltr" style="list-style-type:disc;font-size:11pt;font-family:Arial;background-color:transparent;font-variant-ligatures:normal;font-variant-east-asian:normal;vertical-align:baseline;white-space:pre"><p dir="ltr" style="line-height:1.38;margin-top:0pt;margin-bottom:0pt"><span style="font-size:11pt;background-color:transparent;font-variant-ligatures:normal;font-variant-east-asian:normal;vertical-align:baseline;white-space:pre-wrap">Based on my question on the last call, let's clarify the text at the end of page 8.  Replace “Following the completion of this effort” with “After receiving input from the EPDP team on this Worksheet, each topic….”</span></p></li><li dir="ltr" style="list-style-type:disc;font-size:11pt;font-family:Arial;background-color:transparent;font-variant-ligatures:normal;font-variant-east-asian:normal;vertical-align:baseline;white-space:pre"><p dir="ltr" style="line-height:1.38;margin-top:0pt;margin-bottom:0pt"><span style="font-size:11pt;background-color:transparent;font-variant-ligatures:normal;font-variant-east-asian:normal;vertical-align:baseline;white-space:pre-wrap">To avoid confusion or misinterpretation we should avoid paraphrasing or summarizing Phase 1 recommendation language.  </span></p></li></ul><br><p dir="ltr" style="color:rgb(0,0,0);line-height:1.38;margin-top:0pt;margin-bottom:0pt"><span style="font-size:11pt;font-family:Arial;background-color:transparent;font-weight:700;font-variant-ligatures:normal;font-variant-east-asian:normal;vertical-align:baseline;white-space:pre-wrap">List of topics identified (page 6) – are there any topics missing?</span></p><br><ul style="color:rgb(0,0,0);margin-top:0pt;margin-bottom:0pt"><li dir="ltr" style="list-style-type:disc;font-size:11pt;font-family:Arial;background-color:transparent;font-variant-ligatures:normal;font-variant-east-asian:normal;vertical-align:baseline;white-space:pre"><p dir="ltr" style="line-height:1.38;margin-top:0pt;margin-bottom:0pt"><span style="font-size:11pt;background-color:transparent;font-variant-ligatures:normal;font-variant-east-asian:normal;vertical-align:baseline;white-space:pre-wrap">The third bullet suggests we will be deciding the "Format" of request.   The EPDP should not be concerning itself with issues of “format”.   We need to focus on setting policy around the criteria and “contents” of requests, including which data/fields are mandatory and which may be optional.  </span></p></li><li dir="ltr" style="list-style-type:disc;font-size:11pt;font-family:Arial;background-color:transparent;font-variant-ligatures:normal;font-variant-east-asian:normal;vertical-align:baseline;white-space:pre"><p dir="ltr" style="line-height:1.38;margin-top:0pt;margin-bottom:0pt"><span style="font-size:11pt;background-color:transparent;font-variant-ligatures:normal;font-variant-east-asian:normal;vertical-align:baseline;white-space:pre-wrap">The fourth bullet also mentions format - as above we should focus on the “what” not the “how”. </span></p></li><li dir="ltr" style="list-style-type:disc;font-size:11pt;font-family:Arial;background-color:transparent;font-variant-ligatures:normal;font-variant-east-asian:normal;vertical-align:baseline;white-space:pre"><p dir="ltr" style="line-height:1.38;margin-top:0pt;margin-bottom:0pt"><span style="font-size:11pt;background-color:transparent;font-variant-ligatures:normal;font-variant-east-asian:normal;vertical-align:baseline;white-space:pre-wrap">As stated above we should not pre-suppose or assume the use of a code of conduct at this point in time.  Perhaps a more generic term should be used.  Also things like terms of use/disclosure agreements/SLAs/data retention and discussion may be included in a CoC/Contract so perhaps we can merge these into a single bullet.  </span></p></li><li dir="ltr" style="list-style-type:disc;font-size:11pt;font-family:Arial;background-color:transparent;font-variant-ligatures:normal;font-variant-east-asian:normal;vertical-align:baseline;white-space:pre"><p dir="ltr" style="line-height:1.38;margin-top:0pt;margin-bottom:0pt"><span style="font-size:11pt;background-color:transparent;font-variant-ligatures:normal;font-variant-east-asian:normal;vertical-align:baseline;white-space:pre-wrap">Add: Authorization (its a result of the accreditation) along with Authentication (identification). </span></p></li></ul><br><p dir="ltr" style="color:rgb(0,0,0);line-height:1.38;margin-top:0pt;margin-bottom:0pt"><span style="font-size:11pt;font-family:Arial;background-color:transparent;font-weight:700;font-variant-ligatures:normal;font-variant-east-asian:normal;vertical-align:baseline;white-space:pre-wrap">Proposed logical order to address topics (page 7) – does this order make sense? If not, how should it be reorganized and why?</span></p><br><ul style="color:rgb(0,0,0);margin-top:0pt;margin-bottom:0pt"><li dir="ltr" style="list-style-type:disc;font-size:11pt;font-family:Arial;background-color:transparent;font-variant-ligatures:normal;font-variant-east-asian:normal;vertical-align:baseline;white-space:pre"><p dir="ltr" style="line-height:1.38;margin-top:0pt;margin-bottom:0pt"><span style="font-size:11pt;background-color:transparent;font-variant-ligatures:normal;font-variant-east-asian:normal;vertical-align:baseline;white-space:pre-wrap">We believe the order OK. </span></p></li><li dir="ltr" style="list-style-type:disc;font-size:11pt;font-family:Arial;background-color:transparent;font-variant-ligatures:normal;font-variant-east-asian:normal;vertical-align:baseline;white-space:pre"><p dir="ltr" style="line-height:1.38;margin-top:0pt;margin-bottom:0pt"><span style="font-size:11pt;background-color:transparent;font-variant-ligatures:normal;font-variant-east-asian:normal;vertical-align:baseline;white-space:pre-wrap">See above regarding the use of a more generic term for Code of Conduct. </span></p></li></ul><br><p dir="ltr" style="color:rgb(0,0,0);line-height:1.38;margin-top:0pt;margin-bottom:0pt"><span style="font-size:11pt;font-family:Arial;background-color:transparent;font-weight:700;font-variant-ligatures:normal;font-variant-east-asian:normal;vertical-align:baseline;white-space:pre-wrap">Objective for each topic (pages 9-21) – are the objectives identified for each topic the correct ones? What if anything is missing?</span></p><br><p dir="ltr" style="color:rgb(0,0,0);line-height:1.38;margin-top:0pt;margin-bottom:0pt"><span style="font-size:11pt;font-family:Arial;background-color:transparent;font-variant-ligatures:normal;font-variant-east-asian:normal;vertical-align:baseline;white-space:pre-wrap">General Comment</span></p><br><p dir="ltr" style="color:rgb(0,0,0);line-height:1.38;margin-top:0pt;margin-bottom:0pt"><span style="font-size:11pt;font-family:Arial;background-color:transparent;font-variant-ligatures:normal;font-variant-east-asian:normal;vertical-align:baseline;white-space:pre-wrap">The main objective of this exercise is to ensure we discuss and answer (in the form of recommendations) the charter questions as defined in the “System for Standardized Access to Non Public Registration Data”.   Answering these charter questions should be included in the “objective” for each topic (as or if applicable).   We notice that the charter questions are referenced in the “Related mind map questions” section of each topic, and in many cases charter questions are referenced in multiple topics, however we believe it is in the teams best interest to discuss and answer each charter question in a single “place” with the goal of avoiding (or minimizing to the greatest extent possible) the re-opening and re-debate of decisions previously made.  </span></p><br><p dir="ltr" style="color:rgb(0,0,0);line-height:1.38;margin-top:0pt;margin-bottom:0pt"><span style="font-size:11pt;font-family:Arial;background-color:transparent;font-variant-ligatures:normal;font-variant-east-asian:normal;vertical-align:baseline;white-space:pre-wrap">Additional Input </span></p><br><ul style="color:rgb(0,0,0);margin-top:0pt;margin-bottom:0pt"><li dir="ltr" style="list-style-type:disc;font-size:11pt;font-family:Arial;color:rgb(34,34,34);background-color:transparent;font-variant-ligatures:normal;font-variant-east-asian:normal;vertical-align:baseline;white-space:pre"><p dir="ltr" style="line-height:1.38;margin-top:0pt;margin-bottom:0pt"><span style="font-size:11pt;color:rgb(0,0,0);background-color:transparent;font-variant-ligatures:normal;font-variant-east-asian:normal;vertical-align:baseline;white-space:pre-wrap">For e) on page 17:</span></p></li><ul style="margin-top:0pt;margin-bottom:0pt"><li dir="ltr" style="list-style-type:circle;font-size:11pt;font-family:Arial;color:rgb(34,34,34);background-color:transparent;font-variant-ligatures:normal;font-variant-east-asian:normal;vertical-align:baseline;white-space:pre"><p dir="ltr" style="line-height:1.38;margin-top:0pt;margin-bottom:0pt"><span style="font-size:11pt;color:rgb(0,0,0);background-color:transparent;font-variant-ligatures:normal;font-variant-east-asian:normal;vertical-align:baseline;white-space:pre-wrap">References "format" again.  Should focus on content of requests and responses.  (what is required)</span></p></li></ul><li dir="ltr" style="list-style-type:disc;font-size:11pt;font-family:Arial;color:rgb(34,34,34);background-color:transparent;font-variant-ligatures:normal;font-variant-east-asian:normal;vertical-align:baseline;white-space:pre"><p dir="ltr" style="line-height:1.38;margin-top:0pt;margin-bottom:0pt"><span style="font-size:11pt;color:rgb(0,0,0);background-color:transparent;font-variant-ligatures:normal;font-variant-east-asian:normal;vertical-align:baseline;white-space:pre-wrap">For f) on page 19</span></p></li><ul style="margin-top:0pt;margin-bottom:0pt"><li dir="ltr" style="list-style-type:circle;font-size:11pt;font-family:Arial;color:rgb(34,34,34);background-color:transparent;font-variant-ligatures:normal;font-variant-east-asian:normal;vertical-align:baseline;white-space:pre"><p dir="ltr" style="line-height:1.38;margin-top:0pt;margin-bottom:0pt"><span style="font-size:11pt;color:rgb(0,0,0);background-color:transparent;font-variant-ligatures:normal;font-variant-east-asian:normal;vertical-align:baseline;white-space:pre-wrap">The header/term "query limitations" doesn't quite describe the set of objectives listed and is misleading/confusing.   </span></p></li><li dir="ltr" style="list-style-type:circle;font-size:11pt;font-family:Arial;color:rgb(34,34,34);background-color:transparent;font-variant-ligatures:normal;font-variant-east-asian:normal;vertical-align:baseline;white-space:pre"><p dir="ltr" style="line-height:1.38;margin-top:0pt;margin-bottom:0pt"><span style="font-size:11pt;color:rgb(0,0,0);background-color:transparent;font-variant-ligatures:normal;font-variant-east-asian:normal;vertical-align:baseline;white-space:pre-wrap">Perhaps "Query Policy" would be better. </span></p></li></ul><li dir="ltr" style="list-style-type:disc;font-size:11pt;font-family:Arial;color:rgb(34,34,34);background-color:transparent;font-variant-ligatures:normal;font-variant-east-asian:normal;vertical-align:baseline;white-space:pre"><p dir="ltr" style="line-height:1.38;margin-top:0pt;margin-bottom:0pt"><span style="font-size:11pt;color:rgb(0,0,0);background-color:transparent;font-variant-ligatures:normal;font-variant-east-asian:normal;vertical-align:baseline;white-space:pre-wrap">for i) on page 24</span></p></li><ul style="margin-top:0pt;margin-bottom:0pt"><li dir="ltr" style="list-style-type:circle;font-size:11pt;font-family:Arial;color:rgb(34,34,34);background-color:transparent;font-variant-ligatures:normal;font-variant-east-asian:normal;vertical-align:baseline;white-space:pre"><p dir="ltr" style="line-height:1.38;margin-top:0pt;margin-bottom:0pt"><span style="font-size:11pt;color:rgb(0,0,0);background-color:transparent;font-variant-ligatures:normal;font-variant-east-asian:normal;vertical-align:baseline;white-space:pre-wrap">again this section presupposes the use of an need for a code of conduct.   </span></p></li><li dir="ltr" style="list-style-type:circle;font-size:11pt;font-family:Arial;color:rgb(34,34,34);background-color:transparent;font-variant-ligatures:normal;font-variant-east-asian:normal;vertical-align:baseline;white-space:pre"><p dir="ltr" style="line-height:1.38;margin-top:0pt;margin-bottom:0pt"><span style="font-size:11pt;color:rgb(0,0,0);background-color:transparent;font-variant-ligatures:normal;font-variant-east-asian:normal;vertical-align:baseline;white-space:pre-wrap">suggest the use of a generic term. </span></p></li></ul></ul><br><p dir="ltr" style="color:rgb(0,0,0);line-height:1.38;margin-top:0pt;margin-bottom:0pt"><span style="font-size:11pt;font-family:Arial;background-color:transparent;font-weight:700;font-variant-ligatures:normal;font-variant-east-asian:normal;vertical-align:baseline;white-space:pre-wrap">Target date for completion (pages 9-21) – how much time do you estimate a specific topic needs to get addressed?</span></p><br><ul style="color:rgb(0,0,0);margin-top:0pt;margin-bottom:0pt"><li dir="ltr" style="list-style-type:disc;font-size:11pt;font-family:Arial;color:rgb(34,34,34);background-color:transparent;font-variant-ligatures:normal;font-variant-east-asian:normal;vertical-align:baseline;white-space:pre"><p dir="ltr" style="line-height:1.38;margin-top:0pt;margin-bottom:0pt"><span style="font-size:11pt;color:rgb(0,0,0);background-color:transparent;font-variant-ligatures:normal;font-variant-east-asian:normal;vertical-align:baseline;white-space:pre-wrap">We suggest once we agree with a delivery date date we work back from that date with a work plan to address all issues that need to be worked on. </span></p></li></ul><br><p dir="ltr" style="color:rgb(0,0,0);line-height:1.38;margin-top:0pt;margin-bottom:0pt"><span style="font-size:11pt;font-family:Arial;background-color:transparent;font-weight:700;font-variant-ligatures:normal;font-variant-east-asian:normal;vertical-align:baseline;white-space:pre-wrap">For topics a-f (pages 9-18) confirm that the tasks identified are the correct ones and/or identify what tasks are missing.</span></p><br><ul style="color:rgb(0,0,0);margin-top:0pt;margin-bottom:0pt"><li dir="ltr" style="list-style-type:disc;font-size:11pt;font-family:Arial;color:rgb(34,34,34);background-color:transparent;font-variant-ligatures:normal;font-variant-east-asian:normal;vertical-align:baseline;white-space:pre"><p dir="ltr" style="line-height:1.38;margin-top:0pt;margin-bottom:0pt"><span style="font-size:11pt;color:rgb(0,0,0);background-color:transparent;font-variant-ligatures:normal;font-variant-east-asian:normal;vertical-align:baseline;white-space:pre-wrap">Ensure tasks for each topic allow for, at a minimum, answering the relevant charter questions.  </span></p></li><li dir="ltr" style="list-style-type:disc;font-size:11pt;font-family:Arial;color:rgb(34,34,34);background-color:transparent;font-variant-ligatures:normal;font-variant-east-asian:normal;vertical-align:baseline;white-space:pre"><p dir="ltr" style="line-height:1.38;margin-top:0pt;margin-bottom:0pt"><span style="font-size:11pt;color:rgb(0,0,0);background-color:transparent;font-variant-ligatures:normal;font-variant-east-asian:normal;vertical-align:baseline;white-space:pre-wrap">Can we map each charter question into a single SSAD topic, to ensure we do not miss anything and avoid any duplication of effort? </span></p></li></ul><br><br><br></span><div><div dir="ltr" class="gmail_signature"><div dir="ltr">___________<div><b>Alex Deacon</b></div><div>Cole Valley Consulting</div><div><a href="mailto:alex@colevalleyconsulting.com" target="_blank">alex@colevalleyconsulting.com</a></div><div>+1.415.488.6009</div><div><br></div></div></div></div></div></div>