WOSA
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`Windows
`Open Services
`Architecture
`
`
`
`Computer Technology Research Corp.
`Page 1 of 165
`Page 1 of 165
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`ABB Inc.
`
`EXHIBIT 1010
`EXHIBIT 1010
`
`

`
`~ s ....
`
`Windows
`Open Services
`Architecture
`
`Jerry Cashin
`i,
`
`Computer Technology Research Corp.
`6 North Atlantic Whart, Charleston, South Carolina 29401-2150 U.S.A.
`Telephone: (803) 853-6460 • Fax: (803) 853-7210 • Telex: 147195
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`Page 2 of 165
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`WOSA:
`
`"" ... ,wc: Open .... ''''' ... .,1'',..,. Architecture
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`First
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`ISBN 1-56607·01B-X
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`be
`All rights reserved. Printed in the United States of America. No part of this work
`used in any form whatsoever - graphic, electronic, or mechanical, including photocopying, r&>rl"lrnJnn
`taping or information
`and
`systems without written
`of the
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`or
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`Published by Computer Technology Research Corp., Charleston, South
`
`U.S.A.
`
`While every
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`OSA
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`Page 4 of 165
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`
`Page 6 of 165
`
`

`
`LIST OF FIGURES
`
`51
`
`1
`5,2
`5.3
`5,4
`6.1
`
`.. , , , .. ,. "",."" 74
`of COBe
`Basic
`, . ,. .",
`IOAPI Architecture, , , .... , , ,
`MAPI Facilitator, """ ,
`, ., " " , .,., " .... ".,.
`MAPI Vendors ....... , , , , . ,. .... ....... ..., , .. .,
`MAPI Architecture ... , .. , . , ... , , .... , ...... "
`... ". .,
`Integration of Services. . . . . . . .. ......... ..,
`, .. , . "
`.
`Software Licensing Model
`. , ... ,
`Static Linking ". " . ,
`How an
`
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`1
`18
`
`"
`
`. . . .. ..... "
`a
`
`Page 7 of 165
`
`

`
`LIST OF TABLES
`
`. .... 18
`1.1 Evolution of Networking with Windows and Microsoft LAN Manager
`1.2 Vendors Invo lved in Developing Windows SNA API .... .. ......... . . 27
`2.1 Examples of Windows 3.1 Speed Increases (in Seconds) . . . . . . . . . . . .. 35
`3.1 Products of OSF's DCE . ... ... . ...... . ........... . .......... 54
`4.1 Partial list of ODBC Drivers Currently under Third-Party Development . . .. 63
`4.2 ODBC API Conformance Levels .. . ......... .. ..... . . . . . . . . . . . . 66
`4.3 SOL Conformance Levels ........ . ......................... . . 67
`4.4 Early Supporters of the ODSC Specification . . . . . . . . . . . . . . . . . . . . . .. 68
`4.5 Representative SOL Product Offerings .. ..... . .............. . ... 70
`5.1 A Sampling of ISVs Supporting MAPI
`. ... . ......... . . .. ... . .. . .. 83
`5.2 MAPI Function Calls. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 87
`6.1 Sampling of Operating Systems with LSAPI-related Characteristics . . . . .. 99
`6.2 Vendors Who Support the Job of Defining LSAPI . . . . . . . . . . . . . . . . .. 105
`7.1 Principal Socket System Calls . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 109
`7.2 Windows Sockets Extensions ..... . . . . . . . . . . . . . . . . . . . . . . . . . .. 115
`8.1 Supported SNA Communications Adapters .... . ................. 121
`9.1 Classes of Financial Devices ..... ... ... . .. .. ...... . .. . .. . .. . 126
`9.2 Basic Functions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 129
`10.1 Sample of MIDL Compiler Options
`. .. ...... . . .. .. . . ... . . .... .. 138
`11.1 Windows 3.x and OS/2 2.x Technology Features .. . . . . . . . . . . . . . . . . 144
`
`v
`
`Page 8 of 165
`
`

`
`Introduction
`
`. Windows Open Services Architecture (WOSA) is a natural evolution in
`the quest to help users integrate information from a wide variety of
`sources and platforms. PC users are no longer content solely with
`standalone capabilities. They must also have access to all major
`information resources in an enterprisewide computing environment.
`With increasing specialization, however, this task has become more
`difficult. WOSA provides one approach to the problem of universal
`access. There are alternative solutions, such as those from the Open
`Software Foundation (OSF), Unix International (UI), Apple Computer,
`and others.
`
`The Distribute'd Computing Environment (DCE) from OSF, for example,
`provides a middleware solution. Atlas from UI, and Open Network
`Environment from Apple represent different techniques for integrating
`enterprise services. DCE's interface conventions are not directly tied to
`the operating system. Rather, there is another layer of control that
`functions, for the most part, independent of the resident operating
`system.
`
`WOSA, of course, works closely with \Vindows. This is both a plus and
`a minus in terms of producing effective results. On the one hand,
`efficiency is enhanced by close linkage with the operating system. On
`the other hand, questions of application portability outside the Windows
`environment are a legitimate concern.
`
`The great attraction of WOSA to Windows software developers is that
`standardization of the interface to multiple software services enables
`their product to r each a wider audience. If, for example, a front-end
`database access product follows WOSA interface conventions, it will be
`
`,;;) Computer Technology Research Corp.
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`Page 9 of 165
`
`

`
`Introduction
`
`as
`
`of this report
`The
`ofWOSA. It also
`area.
`
`to
`
`1
`
`Page 10 of 165
`
`

`
`Introduction
`
`hardware and software options are reviewed, along with the associated
`support tools.
`
`Scratch the WOSA surface and there will be a Windows platform in the
`equation. Whether 3.x or NT, Windows is the "bedrock" of WOSA
`technology. Chapter 2 reviews the Windows operating system and its
`relationship to the WOSA phenomenon.
`
`Windows' widespread use guarantees that any architecture based on its
`tenets will occupy an important place in mainstream computing. WOSA
`has received much attention due to its Windows association. Chapter 3
`reports on the architecture ofWOSA, and compares it to the OSF's DCE.
`
`Any solution devised to support enterprise computing must deal with
`the multitude of databases and formats in the marketplace. Chapter 4
`looks at Open Database Connectivity (ODBC), which is designed to
`facilitate access to various database products from the same application.
`
`Any major architectural innovation must have a messaging component
`as part of its technology mix. WOSA is no different in this regard,
`offering Messaging API (MAPI) for support of the electronic mail (E(cid:173)
`mail) function. Chapter 5 evaluates MAP I and some competing
`messaging systems.
`
`Chapter 6 analyzes the License Service API (LSAPI) feature in WOSA.
`Software licensing has become a burdensome management problem to
`many processing sites. LSAPI alleviates some of this burden by
`providing a standard interface to diverse licensing utilities.
`
`Windows Sockets API offers a gateway to Unix technology from
`Windows platforms. It is an important marriage of client to server. The
`basics of Sockets, along with extensions appended for the Windows
`environment, are explained in Chapter 7.
`
`Another important Windows linkage is to IBM's ubiquitous Systems
`Network Architecture (SNA). Microsoft's SNA API operates from an
`
`<Q Computer Technology Research Corp.
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`Page 11 of 165
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`

`
`Introduction
`
`SNA Server which provides a standard interface to this vast networking
`resource. Chapter 8 details the nature of this interface.
`
`The world of banking and related financial services presents unique
`problems related to special hardware and software requirements.
`Chapter 9 explains Windows Extensions for Financial Services,
`including various implementation issues.
`
`Building distributed applications often involves the use of Remote
`Procedure Calls. Chapter 10 reviews the specifics of this important
`networking capability.
`
`With any relatively new architecture such as WOSA, there will be trade(cid:173)
`oifs, product comparisons, and apparent limitations. Chapter 11 looks
`at many of these elements in the WOSA environment.
`
`,I
`
`4
`
`© Computer Technology Research Corp.
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`Page 12 of 165
`
`

`
`Chapter 1
`Executive Summary
`
`WOSA Background and Overview
`
`The search for Windows Open Services Architecture, or something with
`the same general capabilities, began when the first personal computer
`was connected to a mainframe. Since then, information systems (IS)
`managers have been working to improve the synergy among diverse
`computing resources and associated data storage modules.
`
`Most organizations are striving to achieve a high level of collaboration
`from their computing and information resources. As technology has
`advanced, however, and specialization has increased, the task has
`become more difficult.
`
`Many sites have installed PC local area networks (LANs) in order to
`attain greater workgroup cooperation. A preponderance of these
`configurations provides file and print services. This is a step along the
`path to sophisticated groupware participation and interaction, but offers
`nothing like the full range of sharing and interoperability sought by IS
`managers.
`
`WOSA's ultimate goal is to allow Windows-based applications to enjoy
`seamless access to all available information without having to know
`anything about the underlying infrastructure, i.e., the type of network,
`computer, or back-end services. Applications using the WOSA interface
`will thus be able to access information resources across multiple
`computing environments. Total achievement of this goal remains a few
`years away, but development in certain areas is already underway.
`WOSA will undergo constant change as it adapts to new technology and
`user requirements.
`
`(C) Comput9( Technology Research Corp.
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`5
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`Page 13 of 165
`
`

`
`1, Executive
`
`additional
`
`Common Interface
`
`Page 14 of 165
`
`

`
`1. Executive Summary
`
`Figure 1.1 WOSA's Operational Plan
`
`Windows-based
`applications
`
`Windows Pis
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`
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`
`7
`
`Page 15 of 165
`
`

`
`1. Executive Summary
`
`Microsoft's goal with WOSA is to control the desktop via Windows.
`WOSA helps make the Windows operating system a strategic platform
`for users at various levels of the enterprise. Ultimately, with the release
`of additional products, Microsoft would like to climb higher into the
`corporate processing hierarchy. Products such as Windows NT are seen
`as elements that will facilitate that climb.
`
`WOSA Architecture
`
`WOSA provides a single, consistent, system level interface between
`Windows-based PCs and various enterprise computing resources (see
`Figure 1.2). By exploiting the WOSA interface, a Windows-driven
`desktop application need not know anything about computing resources
`on the network in order to gain access to enterprise functions such as
`mail, databases, licensing, or remote procedure calls (RPCs).
`
`Previously, if an existing functional service such as a database
`management system (DBMS) was replaced, front-end applications would
`then have to be altered to accommodate the new service. This is because
`their API calls to servers were linked in at compile time. Even if the
`application developer had the necessary resources to write to the new
`server's API, the existing applications would have to be updated to
`recognize the change.
`
`WOSA solves this problem by communicating to servers through APIs.
`They can be linked in at runtime via Windows Dynamic Link Libraries
`(DLLs). For each functional service, a Driver Manager (MAPI.DLL, for
`example) makes the connection between the application and appropriate
`server driver, i.e., SP!.
`
`WOSA Benefits
`
`The primary benefit of WOSA when fully developed will be to provide
`full access to enterprisewide computing environments for Windows
`users. There are several additional WOSA benefits that help users
`maximize returns from their corporate systems. Among them are:
`
`8
`
`© Computer Technology Research Corp.
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`Page 16 of 165
`
`

`
`1. Executive Summary
`
`Figure 1.2 Windows Open Services Architecture
`
`Application
`
`Application
`
`Application
`
`t
`
`t
`
`t
`
`APls: File, Print, Messaging, Address/Name, Security, etc.
`
`Ji"
`
`'t-
`
`Operating System
`(Windows/MS-DOS and Windows NT)
`
`Service Provide Interfaces (SPls)
`
`File
`Services
`
`Mail
`Services
`
`Data
`Access
`Services
`
`LAN
`Manager
`
`~ Computer Technology Research Corp
`
`9
`
`Page 17 of 165
`
`

`
`1. Executive Summary
`
`• Easy Upgrade Paths. Because WOSA enables a single
`application to work with multiple back-end services, IS
`managers can upgrade or change those services without
`affecting the end-users or their applications.
`
`• Protection of Software Investment. WOSA protects an
`organization's software investment by enabling existing
`applications, without modification,
`to access new
`services on a variety of platforms. End-users can work
`with new resources in the same ways, and using the
`same applications, as they did with existing implemen(cid:173)
`tations (see Figure 1.3).
`
`Figure 1.3 Current and Planned Implementations
`
`( VSAM J o . in Production
`ED Planned for
`Future Release
`
`• More Cost-Effective Software Solutions. As WOSA-based
`applications become more
`readily available,
`IS
`managers will be able to increasingly use off-the-shelf
`products to create integrated software solutions that are
`at least as powerful as more expensive custom
`alternatives. Moreover, this modular approach makes it
`easy to tailor software solutions to specific business
`needs.
`
`• Flexible Integration of Multiple-Vendor Components.
`WOSA's architecture supports multivendor environ-
`
`10
`
`© Computer Technology Research Corp.
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`Page 18 of 165
`
`

`
`1. Executive Summary
`
`ments and, in any given environment, multiple imple(cid:173)
`mentations of a single type of service. As a result,
`WOSA makes it easier to switch from one implementa(cid:173)
`tion to another. This ability is important for organiza(cid:173)
`tions whose long-range plans may require different
`products than they use today, and it is absolutely
`critical for companies that are unsure of their long-term
`requirements.
`
`• Short Development Time for Solutions. Creating soft(cid:173)
`ware solutions for business problems can be a long and
`expensive process. Solutions based on distributed
`computing resources can be even more expensive and
`time-consuming because the complexity of the appli(cid:173)
`cation is compounded by the need for it to provide
`access to back-end systems. Since the issues associated
`with accessing such distributed resources are common
`to a variety of applications, developers of any given
`application should not be burdened with the task of
`resolving problems that are more efficiently and
`appropriately left to the system software. WOSA
`relieves developers of this burden by providing a single,
`open-ended interface for applications at both ends of the
`network connection.
`
`By providing access to various implementations of back(cid:173)
`end services, WOSA eliminates the need for application
`developers to develop solutions for each new service
`implementation. Programmers can provide access to
`new implementations by plugging existing components
`together.
`
`Services and
`Include Future
`to
`• Extensibility
`Implementations. WOSA is designed to be extensible,
`meaning that new types of services can be added to
`WOSA as needed. WOSA's DLL-based implementation
`can allow new APls to be added without disrupting
`
`«:l Computer Technology Research Corp.
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`11
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`Page 19 of 165
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`

`
`1. Executive
`
`•
`
`WOSA as a Strategic Resource
`
`Page 20 of 165
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`

`
`1. Executive Summary
`
`into a heterogeneous
`custom software packages
`environment. WOSA's
`flexibility enables systems
`integrators to combine custom front-end applications
`with commercially available software packages and
`back-end services to build effective solutions.
`
`WOSA reduces the amount of custom software that
`must be developed to solve a customer's application
`needs because it allows various pieces of software to be
`plugged together to form a comprehensive package.
`WOSA-based technologies enable systems integrators to
`utilize a single solution in a variety of customer
`computing environments. For example, an order entry
`system that works with one customer's Unix-based
`Oracle server can be used to support another customer's
`MVS-based database system (see Figure 1.4).
`
`• WOSA and Corporate Developers. WOSA helps
`corporate developers define a stable set of interfaces on
`which applications can be built, thereby eliminating the
`need to modify applications in order to access new
`implementations of distributed services. WOSA also
`reduces the burden of software support that would be
`required if a special version of a given front-end
`application were required for each implementation of a
`back-end service. WOSA saves development time
`because programmers can focus on a single set of APIs
`for each type of service rather than a new set of APIs
`for each implementation of a service.
`
`• WOSA and Independent Software Vendors. Independent
`Software Developers (ISV s) can gain similar benefits
`from WOSA as do corporate developers. In addition,
`ISV s can use WOSA as a way to market a single
`implementation of their application to multiple service
`providers. An example is an ISV with a front-end
`application that accesses back-end database services. In
`
`~ Computer Technology Research Corp.
`
`13
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`
`Page 21 of 165
`
`

`
`1. Executive
`
`Figure 1.4 Order Entry Package in Two Different Customer Settings
`
`1
`
`2
`
`DB2
`on MVS
`
`a platform like \VOSA, the ISV would
`of
`
`Page 22 of 165
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`

`
`1. Executive Summary
`
`customers and vendors to either build PC-based front
`ends, or develop and market such packages themselves.
`
`With a standard API to access a variety of back-end
`services, WOSA reduces the burden on the back-end
`service vendor in both of these areas. Because new
`implementations of back-end services can be accessed
`from a common API, the vendor's system software
`requirement is limited to providing the service provider
`interface library for their service. Applications that use
`WOSA to integrate services from various back-ends can
`be used without modification with new implementations
`of the service.
`
`Microsoft Windows
`
`Windows is the center of Microsoft's system software strategy. Windows
`implementations fall into two broad categories. One category has
`Windows running with current and future versions of the MS-DOS
`operating system. This implementation has been steadily upgraded to
`exploit the Intel 80x86 processor series, and includes features needed for
`a majority of desktop users. It has retained its role of being a direct
`complement to MS-DOS through successive releases.
`
`Another Windows category is manifested in the Windows NT operating
`system. The latter offers advanced operating system features needed for
`more demanding desktop applications, including high-performance
`server routines used in clientJserver configurations and downsized
`applications offioaded from host-based systems.
`
`The first Windows category, i.e. DOS-based, is targeted for the Intel
`platform. Its ideal environment is the 80386 processor and up, although
`it will operate with reduced performance on the 80286.
`
`Windows NT is geared for more demanding tasks. It can handle large,
`resource-intensive jobs in conjunction with powerful hardware support.
`A full 32-bit system, NT provides features such as security,
`multiprocessor operation, and is portable to Reduced Instruction Set
`
`© Computer Technology Research Corp .
`
`15
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`Page 23 of 165
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`

`
`
`
`1. Execafive Summary
`
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`Page 24 of 165
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`Page 24 of 165
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`

`
`1. Executive Summary
`
`Figure 1.5 Windows Scalable Architecture
`
`The scalable architecture of the Microsoft
`Windows operating systems enable applications
`for Windows to run on machines ranging from
`notebook and pen computers to RISC-based
`and multiprocessor systems.
`
`Server &
`Multiprocessor
`
`Windows (MS-DOS)
`
`Workstation
`& RISC
`
`Desktop
`
`Windows NT V
`
`Multimedia
`
`Pen
`
`Notebook
`
`tuned for interoperation with many of the leading network operating
`systems. Microsoft offers full Windows-based networking with the LAN
`Manager family of network computing products. Microsoft LAN Manager
`is supported on OS/2, Unix, VMS, and Windows NT platforms.
`
`Windows NT represents an advance in operating system functionality
`for networked PCs and network servers. It possesses built-in peer-to(cid:173)
`peer networking. Windows NT also supports networking control
`capabilities, including network monitoring tools, centralized workstation
`administration, and performance management tools. The underlying
`Windows NT operating system is specifically designed for high-speed
`network operations, with a new file system, high-speed drivers, and
`enhancements in other performance-sensitive areas. Windows NT also
`will support Microsoft's current server applications, including Microsoft
`SQL Server and DCAIMicrosoft Communications Server, and server
`
`© Computer Technology Research Corp.
`
`17
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`Page 25 of 165
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`

`
`1. Executive Summary
`
`applications from other vendors. Microsoft has articulated plans to
`continue to deliver and support LAN Manager, SQL Server and Comm
`Server on the OS/2 platform. Microsoft will also provide a migration
`path for those customers interested in moving their servers from OS/2
`to Windows NT.
`
`Table 1.1 portrays the evolution of Windows networking from both client
`and server perspectives.
`
`Table 1.1 Evolution of Networking with Windows and Microsoft LAN Manager
`
`What the
`CLIENT
`runs
`
`What the
`SERVER
`runs
`
`• Windows 3.1 (MS-DOS)
`
`• Windows 3.1 (MS-DOS)
`• Windows NT
`
`• Next release of Windows
`(MS-DOS)
`• Next release of Windows NT
`
`• LAN Manager for OS/2
`• LAN Manager for UNIX
`• LAN Manager for VMS
`(Pathworks)
`
`• LAN Manager for Windows NT
`• LAN Manager for OS/2
`• LAN Manager for UNIX '
`• LAN Manager for VMS (Pathworks)
`
`Il_ '!
`
`.111
`
`Open Database Connectivity
`
`ODBC is the database component ofWOSA. It is a strategic interface for
`accessing data in a heterogeneous environment of relational and non(cid:173)
`relational database management systems (see Figure 1.6). Based on a
`call-level interface (CLl) developed by an industry consortium of more
`than 40 vendors (the SQL Access Group), ODBC defines a common API
`for accessing heterogeneous database information in a uniform fashion.
`With ODBC, application developers can allow an application to
`concurrently access, view, and modify data from multiple, diverse
`databases. Apple Computer has endorsed ODBC as a key enabling
`technology for retrieving data from System 7 applications, and will
`integrate ODBC support into System 7. \Vith growing industry support,
`ODBC is emerging as an important industry standard for data access for
`both Windows and Macintosh-based applications.
`
`ODBC provides a common data access API. Each application uses the
`same function calls to talk to many types of data sources through
`
`18
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`e) Computer Technology Research Corp.
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`Page 26 of 165
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`

`
`1. Executive Summary
`
`Figure 1.6 OOSC Architecture
`
`1
`
`Application
`