Principles

1 The following principles apply to the Accreditation Process:

P1 The Crown is the owner of the Accreditation Process.

P2 The Crown has the sole right to set or alter the terms and conditions of the Accreditation Process.

P3 Applicants or Accredited Suppliers can expect to be treated reasonably and equitably.

P4 The Accreditation Process will be conducted in a manner that insofar as is practicable minimises the costs of achieving the required level of confidence in the Accredited Software and Accredited Supplier.

P5 The Accreditation Process requirements will change from time to time to reflect changing standards and lessons learned to date. Such changes shall be notified promptly to Accredited Suppliers and Applicants.

Purpose

2 The purpose of the Accreditation Process is to provide a benchmark for Participating Agencies and Accredited Suppliers that will indicate that all software products that have been accredited are able to interoperate when appropriately configured.

3 The test component of the Accreditation Process is intended to prove that secure e-mail gateway products from different vendors are able to exchange, block and report upon messages sent between S.E.E. agencies so as to satisfy the basic security policy requirements of S.E.E. In other words there are a minimum set of interoperation capabilities that all of the gateways need in order to support the basic security policy requirements.

4 Although secure e-mail gateway products may provide additional functionality outside of the minimum set of interoperation capabilities, the Accreditation Process is not concerned with these, unless these additional functions adversely impact the functionality of S.E.E Mail.

Philosophy underpinning Accreditation Process

5 The philosophy underpinning the Accreditation Process is one of partnership. The process is intended to be inclusive and constructive. It is in the interests of both the Crown, and Accredited Suppliers and Suppliers applying for Accreditation, to work together in all aspects of the Accreditation Process towards the desired outcomes.

6 The desired outcome of any instance of the Accreditation Process is confirmation or re-confirmation of particular software as being suitable for use by Participating Agencies to exchange secure e-mail with each other. The Crown is interested in a suitable supply market for secure e-mail products being available to Participating Agencies.

7 An important part of this philosophy is that costs and effort shall generally fall where benefits fall, but that the Crown and Suppliers will make every effort to reduce costs and effort to a practical minimum. Each party to an Accreditation process will be generous in contributing, and parsimonious in charging for time and effort.

8 In keeping with this philosophy the Crown may direct Participating Agencies being used as Operational Reference Sites not to charge the Supplier for recovery of direct costs borne by them as part of the process of testing revisions of Accredited Software, where estimates of such charges are provided by the Supplier in advance, and agreed by the Crown, and where those estimates have not been exceeded.

Owner of the Accreditation Process

9 The Crown is the owner of the Accreditation Process. For the purposes of the Accreditation Process, the State Services Commissioner, or representative that the Commissioner may from time to time nominate, will represent the Crown.

10 The Crown reserves the right to manage and control the testing process, for any Supplier and Accreditation of Software and the right to terminate Accreditation Process at any time.

11 The Crown reserves the right to from time to time to advertise for expressions of interest from vendors to apply for accreditation.

Acceptance of Application for Accreditation

12 The Crown reserves the right to accept or decline any application for accreditation received. The Crown will not be under any obligation to discuss with applicants the reasons why an application for accreditation is either accepted or rejected. The Crown will endeavour, however, to debrief unsuccessful applicants. Successful and unsuccessful applicants will be notified by e-mail and in writing of the outcome of the evaluation process.

Confidentiality

13 Each party will keep secure and confidential at all times all Confidential Information relating to the business of the other party, which it, its employees, permitted contractors, agents or representatives may become aware of. Each party will as a minimum standard use the same degree of care to avoid disclosure as it uses to protect its own Confidential Information.

14 The Crown may provide Confidential Information of the Supplier to Participating Agencies or Eligible Agencies. The Crown shall ensure that Participating Agencies or Eligible Agencies shall comply with the confidentiality obligations relating to the Applicant's Confidential Information disclosed to the Crown as part of the Accreditation process

15 Each party shall use its best endeavours to ensure those of its officers, employees and advisers to whom Confidential Information is disclosed as part of the Assessment Process are aware of and comply with the confidentiality obligations

16 If either party is required by law (including, but without limitation, pursuant to the Official Information Act 1982) to disclose any Confidential Information it will immediately, and prior to such disclosure, advise the other party to the extent that such disclosure is permitted by law.

17 The confidentiality obligations shall survive completion or termination of the Assessment Process.

Official Information

18 Applicants should be aware that any information, data or knowledge they supply as part of the Assessment Process is official information in terms of the Official Information Act 1982. In line with the policy of that Act, such information may be released to the public unless there is good reason, in terms of that Act, to withhold the information.

Scope and Limitations

19 The Accreditation Process is limited to the supply of software products and associated services for the secure exchange of electronic mail (e-mail) between participating Agencies in the Secure Electronic Environment (S.E.E).

20 The Accreditation Process is only to support the exchanging of secure e-mail between Participating Agencies. The Accreditation Process is completely separate from any assessment carried out by or for the Government Communications Security Bureau or any other standards setting organisation.

21 The Accreditation Process demonstrates that interoperability can be achieved between a particular version and configuration of e-mail software and any other Accredited Software installed in any Participating Agency. Accreditation of software or a supplier does not imply any form of endorsement of the software or imply that the software will be suitable for Installation and use in any Participating Agency, Eligible Agency or elsewhere.

Applicability

New Applicants

22 The Accreditation Process applies to suppliers who are seeking to have software supplied by them Accredited. These suppliers will be expected to complete a comprehensive testing process.

New Versions

23 The Accreditation process applies to Suppliers already Accredited who are seeking accreditation for a new Version of Accredited Software or a current version that has been substantially Revised, whether this be a bug fix or new functionality. These suppliers will be expected to demonstrate continued interoperability with other Accredited Software through an appropriate testing process.

Change of Requirements by the Crown

24 The Accreditation process applies to Suppliers already Accredited who are seeking to renew or confirm the accreditation of Accredited Software following a change or variation to the requirements. These suppliers will be expected to demonstrate continued interoperability under the updated requirements through an appropriate testing process.

Roles and Responsibilities

25 The Crown's Representative in the Accreditation Process is the Director, E-government Unit, State Services Commission.

26 The Crown's representative will convene and chair the S.E.E. Steering Group on matters of strategic importance to S.E.E., including Accreditation of Suppliers, or termination of Accreditation. The S.E.E. Steering Group will ratify all requirements, or changes to the Accreditation Process.

27 The S.E.E. Manager will direct and oversee all day-to day matters relating to S.E.E., including the Accreditation Process. The S.E.E. Manager is the point of contact for all Applicants or Accredited Suppliers.

28 The current list of personnel assigned to specific roles and responsibilities can be found at http://www.see.govt.nz/index.html - governance.

Notices

29 The following periods of notice will apply to the Accreditation Process.

a) The Crown will give Applicants five (5) working days notice of Termination of the Accreditation Process.

b) Applicants will give the Crown five (5) working days notice of their intention to withdraw from the Accreditation Process.

c) The Crown will give Applicants and Accredited Suppliers:

- two (2) months notice of changes or variations to the Accreditation Process

- three (3) months notice of changes or variations to its requirements or test criteria.

d) Applicants or Accredited Suppliers will give notice by e-mail, to the Crown's Representative and the S.E.E. Manager. The period of notice will commence form the time of acceptance of that notice by one of the Crown's Representative or the S.E.E. Manager. Acceptance will be notified by return e-mail to the person(s) who is authorised by the Applicant or Accredited Supplier to act on behalf of their organisation for the purposes of the Accreditation Process.

e) The Crown will give notice by e-mail to the person(s) who is authorised by the Applicant or Accredited Supplier to act on behalf of their organisation for the purposes of the Accreditation Process. The period of notice will commence at the time of dispatch of the e-mail.

Intellectual Property Rights

30 The Intellectual Property Rights in the Accreditation Process or any other matters shall remain the property of the Crown,

31 The Intellectual Property Rights in any Confidential Information supplied by an Applicant or Accredited Supplier pursuant to the Accreditation Process will remain the property of the Supplier, its suppliers and licensors, as the case may be except that the Crown shall have the right to share such Confidential Information with any Participating Agency or Eligible Agency.

Variation

32 The Crown reserves the right to amend the Accreditation Process, its requirements and/or this Document and to make any changes whatsoever, including cancelling the Accreditation Process and the S.E.E project itself. The Crown accepts no obligation of any kind to any other party. Applicants and Accredited Suppliers will be notified of any changes to the requirements in accordance with the notice provisions detailed in this document.

Liability

33 The Crown will not be liable to any Applicant (nor to any Accredited Supplier) for any inaccuracy or omission in this document or for any additional information that the Crown may provide. The Crown reserves the right to amend the requirements to make any changes whatsoever without obligation of any kind to any other party. Accredited suppliers will be notified of any changes to the requirements in accordance with the notice provisions detailed in this document.

The Crown does not accept any liability from any Supplier, Participating Agency, Eligible Agency or any other party whatsoever for any cost, damage or loss arising from:

• Any amendment or variation of the Accreditation Process

• Withdrawal of Accreditation

• Termination of Accreditation or the Accreditation Process

• Accreditation of new Suppliers and/or Software

• Cancellation of any part or all of the S.E.E. Project

34 The Crown does not accept any liability from any party for any cost, damage or loss that may arise from Installation and use of the Accredited Software. In particular neither the Crown, nor the State Services Commissioner or the Crown's Representative in any way whatsoever warrant the suitability or performance of the Accredited Software.

Costs

Philosophy underpinning costs

35 Costs will generally be borne by the party initiating the Accreditation Process, or the party that stands to gain from the process. However, the success of S.E.E. Mail will arise from positive relationships between Participating Agencies and Suppliers. This drives a philosophy that costs will be reduced to a practical minimum wherever possible.

36 There is a strong expectation that individual Participating Agencies will be generous with their time, where there is a benefit for Participating Agencies generally. This may mean that, where there is a general benefit for all Participating Agencies, individual Participating Agencies assisting with a particular instance of an Accreditation Process may chose to absorb a level of costs that they might not otherwise accept.

37 Where the time required from a Participating Agency being used as an Operational Reference Site exceeds the estimate provided by the Supplier, the participating Agency may, with the agreement of the Crown's representative, charge the Supplier for recovery of those additional direct costs borne by them, at a rate predetermined as part of the Accreditation Process.

Costs borne by Supplier

38 All direct and indirect costs will be borne by the Supplier, providing that costs which will be incurred by the Crown and invoiced to the Supplier will where possible be notified to the Crown in advance of the Accreditation Process commencing.

39 The Applicant or Supplier will bear the effort and costs associated with the preparation and presentation of an application for Accreditation. This effort and costs shall be expended without obligation to the Crown to purchase any product or service included in that application.

Costs borne by the Crown

40 The Crown will under no circumstances be liable for the costs incurred by an Applicant or Accredited Supplier.

Dispute Resolution - Escalation, Arbitration

Principles

41 The parties agree to use their best efforts to resolve any dispute that may arise under the Accreditation Process through good faith negotiations.

42 The parties acknowledge their desire that any irreconcilable dispute or difference shall be resolved by mediation. This is without prejudice to any other right or entitlement that they may have. The rules governing any mediation shall be agreed between the Parties. The Parties agree to the assistance of LEADR (Lawyers involved in Alternative Dispute Resolution) to set the terms of reference for any such mediation and/or to procure mediation at equal cost to the parties or on such other terms as the Parties agree.

Process

43 If an irreconcilable dispute or difference arises between the Applicant and the Crown either party may seek request that the dispute be submitted for mediation within 14 days by way of written notice by one party to the other.

44 However where an irreconcilable dispute or difference arises between the Applicant and the S.E.E. Manager as a result of an application for Accreditation by a supplier, or from the Accreditation Process, the dispute shall first be referred to the Crown's Representative for discussion and resolution.

45 If an irreconcilable dispute or difference is not submitted for mediation within 14 days of written notice by one party to the other, or resolved by mediation, either party may by way of 14 days written notice to the other require the matter to be determined by the arbitration of a single arbitrator in accordance with the provisions of the Arbitration Act 1996 (as amended by this Agreement).

46 The arbitrator shall be appointed by the parties or, failing agreement within five Working Days of such notice, appointed as soon as possible by the President of the New Zealand Law Society at the request of either party. The arbitration shall be conducted as soon as possible at Wellington.

47 The parties shall continue to perform their obligations as far as possible as if no dispute had arisen pending the final settlement of any matter referred to mediation or arbitration.

48 Nothing in this section shall preclude either party from taking immediate steps to seek urgent interlocutory relief before a New Zealand Court.

Termination of the Accreditation Process

By the Crown - failure by Supplier to fulfil Requirements

49 Where the Crown determines that a Supplier who has submitted Software for Accreditation is unable to fulfil the requirements of the Accreditation Process, that supplier will be given notice of termination of the Accreditation Process in accordance with the notice provisions detailed in this document. If the supplier is unable to meet the requirements of the Accreditation Process within that period, the Accreditation Process will be terminated. The Crown reserves the right to recover from the Supplier all direct costs incurred by the Crown, arising from the terminated Accreditation Process.

By the Crown - failure to agree costs with Supplier

50 In the event that the Crown and Applicant fail to agree on the costs of the Accreditation Process, or apportionment of those costs, the Crown reserves the right to terminate the Accreditation Process without liability.

51 In the event that the Accreditation Process is terminated:

• Where the Accreditation Process is for the purpose of accrediting a new Supplier and Software, the Supplier and Software will be deemed not Accredited

• Where the Accreditation Process is for the purpose of accrediting a new Version of Existing Accredited Software, the existing Version of the Accredited Software will remain Accredited until such time as the existing Version fails to meet requirements. At that point the Crown will withdraw the Accreditation.

• Where the Accreditation Process is for the purpose of Accrediting existing Accredited Software to meet changed Accreditation, the existing Accreditation will be withdrawn at 11:59:59 p.m. on the day prior to the new Accreditation criteria coming into force

By the Supplier

52 An Applicant may at any point request that the Accreditation Process be terminated. The supplier will give notice to the Crown of their intention to terminate the Accreditation Process in accordance with the notice provisions detailed in this document. The Crown reserves the right to recover from the Supplier all direct costs incurred by the Crown, arising from the terminated Accreditation Process.

Process and test documentation

Appendices 1 - 3 give details of current test requirements.

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