Software Conformity Assessment System...Issue of a Certificate 7 Period of Validity 7 Extending a...

SoftwareConformityAssessmentSystem PROCEDURE SC94

AIE SOFTWARE Cover 13/10/99 3:40 pm

This procedure outlines the provisions forsoftware certification through the Lloyd’sRegister Software Conformity Assessmentsystem. It supersedes all previouspublications on the subject.

FOREWORD

Software Conformity Booklet 15/10/99 10:53 am

Overview 2

Assessment Criteria 3

Assessment Procedure 4

General

Application for LR Software Conformity Mark 4

Assessment Inspections 5

Specification Inspection 5

System Test Inspection 5

Design Inspection 5

Replication, Delivery and Maintenance Inspection 6

Assessment Report 6

Resubmission 6

Certification 7

General 7

Issue of a Certificate 7

Period of Validity 7

Extending a Certificate 7

Cancellation 8

Appeals 9

LR Software Conformity Mark 9

Fees for LR Software Conformity Assessment 10

Producer’s Responsibility 11

Publication 12

Declaration 12

Definitions 13

Annex 1: Submission Information 16

Appendix 1 17

References 20

Software Conformity Assessment System: PROCEDURE SC94

CONTENTS

Software Conformity Booklet 15/10/99 10:53 am Page 1

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• assessment can either be timed to run inparallel with development or it can becarried out at the end of development

• assessment can be done at a producer’ssite or at LR’s premises

• certification can cover multiple versionsof the same product (subject to certainrequirements being met (see AssessmentProcedure, page 4)

• extension certificates to cover newversions of products (for example,upgrades or ports) or to demonstrateconformance with new standards, can beissued without the need for full re-assessment

• it can be used in conjunction with the LR

Type Approval System (Ref. 1) forhardware.

Successful assessment results in the award ofa certificate, the right to use a SoftwareConformity Mark (see example on page 9) andentry of the product details in a publishedregister of certified products. In addition,permission may be given for the assessmentreport to be used to promote the product.

LR Software Conformity Assessment meets thegeneral requirements for third-partycertification systems detailed in EN 45011(1989) and ISO/IEC Guide 28 : 1982. Inaddition, it is in line with the EU globalapproach to conformity assessment (Ref. 7).

LR Software Conformity Assessment is co-ordinated and conducted by staff at LR’sheadquarters. LR is an entirely independentinternational organisation which providesimpartial technical and advisory services. Itsincome is derived principally from the feescharged for its services and any surplus isused for the improvement of those services.LR is recognised in UK law as a body whosebusiness is conducted for the benefit of thecommunity.

OVERVIEW

Lloyd’s Register (LR) Software ConformityAssessment is an impartial certificationsystem based on assessment of softwareproducts against published criteria. Itinvolves inspection of requirements, design,testing, verification, configurationmanagement and maintenance.

LR Software Conformity Assessment providesindependent third-party certification toassure the quality of software products. Inparticular it provides an assurance ofcompliance with published assessmentcriteria (see page 3), which are derived fromrelevant industry standards and guidelines.The criteria are aimed at establishing thatdevelopment, verification and testing giveconfidence in the performance andfunctionality of the software.

LR Software Conformity Assessment is aversatile system which is applicable to awide range of software products, includingsystem, embedded and application software,with applications in a variety of industrialsectors.

LR Software Conformity Assessment isapplicable in all situations where reliance isplaced on software integrity. It may be usedto:

• demonstrate the integrity of softwareproducts to customers or third parties

• monitor subcontractors or suppliers inbespoke developments

• show tangible benefits from a widerprocess improvement programme.

LR Software Conformity Assessment includesthe following features:

• it is aimed at specific products, as distinctfrom quality management

• assessment criteria are selected andagreed with the client before assessmentcommences


As a certification body, LR retains apermanent, full-time staff responsible for theoperation of its certification systems andensuring that its activities are free from anyexternal commercial interest.

In order to assist the reader, certaindefinitions have been selected from nationaland international guides and standards,where appropriate. (see page 13, Definitions)

LR Software Conformity Certificates areawarded on the basis of assessmentaccording to the procedure on page 4, toconfirm that the assessment criteria aresatisfied. The assessment criteria arepublished as separate documents(assessment modules) and assessment isagainst the criteria contained in one or moreof these modules.

New modules will be published from time totime to account for new or modified nationalor international standards and fordevelopments in software engineering.

The modules to be used for the assessmentwill be agreed between the client and LR.However LR reserves the right to refuseapplications for Software ConformityAssessment where certification is requiredagainst criteria which are not consideredsuitable.

In principle, deviations from the agreedcriteria are not permitted. However, alimited number of minor deviations may bepermitted at LR’s discretion but these will bereferenced on the resulting certificate.

LR Software Conformity Certificates areawarded on the understanding that theproducer’s recommendations andinstructions for the installation andapplication of the software are adhered to.

3

ASSESSMENT CRITERIA

Software development

4115/01

Certificate

Development products

Assessment Modules(based on codes of practice,

standards etc)


General

LR Software Conformity Assessment involvesassessment of software requirements,specification, design, testing, verification,configuration management and maintenance.This is primarily achieved by inspection ofdocuments and records, testing and testwitnessing. If required, inspection can becarried out at the producer’s premises.Furthermore, for products still underdevelopment, the assessment process can bepartitioned and timed to suit the constraintsof the producer’s software development cycle.

LR Software Conformity Assessment isconducted by the Engineering ServicesGroup at LR’s headquarters under the overallcoordination of the Type ApprovalDepartment.

LR may recognise existing certificates orreports issued by other certification bodies,accredited testing laboratories or approvalorganisations provided such certificates andreports are considered by LR to fulfil therequirements specified for LR SoftwareConformity Assessment. Further supportinginformation to confirm the adequacy of suchcertificates and reports may be required atLR’s discretion.

Application for LR Software ConformityAssessment

Application for LR Software ConformityAssessment is to be made on a Request forSoftware Conformity Assessment form whichshould be completed in full by the client.Copies may be obtained from a local LR

representative or from LR’s headquarters.

A separate request form for LR SoftwareConformity Assessment should be completedfor each software product and every place ofproduction for which application is beingmade.

The completed request form can besubmitted to either the local LR office or toLR’s headquarters.

• Assessment of completed development at LR’spremises

The necessary information (see Annex 1)should be submitted with the application.

• Assessment of completed development atdeveloper’s or client’s premises

LR will normally offer a short initialassessment, after which the remainder ofthe assessment can be scoped andplanned. An initial assessment report willidentify any major shortcomingsidentified.

• Assessment carried out in parallel withdevelopment

LR will normally offer a short initialassessment to determine the current stateof development and plan the co-ordinationof the remaining activities.

Any special arrangements or problems withthe application should be resolved bydiscussion with LR.

LR Software Conformity Assessment is aimed atassessing and certifying software for use in adefined operating environment. Howeverthe system software that supports theoperation of the submitted software may beassessed separately under this system whilethe associated hardware may be approvedunder the LR Type Approval System (Ref. 1).

LR Software Conformity Assessment may besought for more than one operatingenvironment or for more than one version ofthe software. This is desirable for softwaredesigned to operate on a variety of hardwareplatforms and operating systems or wheretwo or more releases of the softwarecontinue to be marketed and supported bythe producer. Where this is the case theproducer must ensure that the submitted

4

ASSESSMENT PROCEDURE


documentation clearly shows how thedesign, testing and configurationmanagement aspects of the software arehandled for each operating environment andfor each version of the software.

All enquiries relating to additional servicesoffered by LR in connection with the SoftwareConformity Assessment system should bemade to either the local LR office or LR

headquarters.

Assessment Inspections

An assessment can typically be broken downinto the following phases (these areindicative only – the exact details willdepend on the development life cycle andthe assessment module).

Specification Inspection

Specification inspection determines whetherthe software requirements are clearly, fullyand logically specified. It provides theassessor with an understanding of thefunctional and performance claims that aremade for the software and therefore formsan important basis for the system testinspection and design inspection.

System Test Inspection

System test inspection determines whether:

• the specified system tests are appropriateand adequate for the software underassessment and that they have welldefined acceptance criteria

• all the specified tests have beenperformed and passed according to theacceptance criteria.

This inspection comprises an analysis of thesystem test documents and the rerunning ofa sample of the system tests. Thesedocuments include the system test plan, testspecification, test input data, test reports andany other referenced documents.

LR may require system tests to be repeatedby the producer and witnessed by anauthorised representative where the tests are particularly complex or the operatingenvironment cannot be installed at LR’s offices.

Design Inspection

Design inspection provides an assurance ofthe technical adequacy of the design andincreases confidence in the ability of thesoftware to perform correctly for cases otherthan those specifically tested. This isachieved by examining the products of thesoftware development process, and theirverification and validation (including unitand integration testing).

The design will be evaluated in all cases byinspecting:

• design specifications

• source code

• operating environment specifications

• unit and integration test plans,specifications and reports

• applicable standards or codes of practicegoverning the software development

• records of reviews, inspections, proofsand other verification and validationactivities.

Any other data the applicant submits asevidence for the technical adequacy of thedevelopment of the product will be used byLR if required. The documents and sourcecode will be assessed against the criteria fordesign inspections.

Replication, Delivery and MaintenanceInspection

The replication, delivery and maintenanceinspection examines evidence that:

• effective configuration management hasbeen applied to the software

5


• the replication procedures deliver correctand complete copies of the softwareproduct

• a defined maintenance and upgradingpolicy is in place.

It comprises an inspection of the proceduresand records for configuration management,replication and maintenance. The documentsand records will be assessed against thecriteria for configuration managementinspections.

This inspection may be supported, ifnecessary, by LR conducting an audit of theoperation of these procedures for thesoftware being assessed.

Assessment Report

On completion of the conformity assessmenta preliminary assessment report will beissued which presents the detailed findingsof the assessment. The client will be giventhe opportunity to comment on any factualerrors concerning the evidence assessed.

A final assessment report will be issued,which takes into account any commentsfrom the client. It will contain a summary ofthe overall findings of the assessment,indicating whether LR is satisfied that all therequirements for LR Software ConformityAssessment have been met. Copyright in thereport will be retained by LR.

The assessment report is valid only for thesoftware version(s) and the operatingenvironment(s) that are identified in it.

Resubmission

The assessment report may indicate that therequirements for LR Software ConformityAssessment have not been met. In this casethe client may take remedial action toaddress the non-conformances and resubmitthe software. Where the resubmission is

made within 12 months of the issue of theassessment report then only those parts ofthe software affected by the remedial actionwill be re-assessed.

6


General

If the software satisfies the requirements ofLR Software Conformity Assessment, acertificate will be authorised.

Issue of a Certificate

The Software Conformity Certificate willcontain the following minimum information:

• name and address of the producer’sregistered office

• place of production (if different)

• identification of the certified softwareexactly by description, version number(s)and any other relevant configurationinformation

• identification of the environments(hardware and system software) that thesoftware has been certified to operate in;this is to be done exactly by descriptions,version numbers and any other relevantconfiguration information.

• any other operational limits or conditionson the use of the software

• a statement to the effect that the certificatehas been awarded by LR

• the specific assessment modules to whichthe software has been certified to conform

• references to any non-conformances withthe assessment criteria

• certificate number and date of issue.

• expiry date of certificate.

• a statement of the terms and conditionscovering LR Software ConformityAssessment.

The Software Conformity Certificate will besigned by an authorised officer in LR’sheadquarters.

Period of Validity

LR Software Conformity Certificates arenormally valid for a maximum period ofthree years from the date of issue.

Extending a Certificate

A Software Conformity Certificate may beextended by the issue of an extensiondocument if:

• the producer wishes to extend the periodof validity of the certification

• the producer wishes the certification tocover additional versions of the softwareto those already assessed

• the producer wishes the certification toattest to the conformity of the softwarewith additional specifications orstandards

• the producer wishes the certification toinclude an additional place of replication

• an amendment is agreed to the originalcertificate.

Upon receipt of an application for extendinga Software Conformity Certificate, LR willadvise the client of any additional provisionssuch as additional information, inspection ortesting to be fulfilled in order that anextension may be awarded. In particular,fault reports and customer complaints willbe examined.

Provided the application for extending aSoftware Conformity Certificate is accepted,and any additional provisions fulfilled, LR

will issue an Extension to Software ConformityCertificate which supplements the originalcertification.

An Extension Certificate is valid for amaximum period of three years from thedate of issue. Normally, applications forextended certification should be made inwriting at least three months before they arerequired (in cases concerning expiringcertificates, this is three months before theexpiry date). In situations where extended

7

CERTIFICATION


certification is required rapidly, for exampleto certify a new software version containingan emergency bug fix, LR should beinformed immediately.

If any additional provisions are fulfilled bythe software appropriate statements will beincluded on the Extension to SoftwareConformity Certificate.

The maximum period for all extensions is upto 12 years from the date of issue of theoriginal certificate. After this time a full re-assessment of the software will be required.

Cancellation

LR reserves the right to cancel a SoftwareConformity Certificate if:

• any design changes are made to certifiedsoftware which are deemed to adverselyaffect the provisions under which LR

Software Conformity Certification wasawarded

• safety or any other feature of the certifiedsoftware is found to be unsatisfactory inservice

• the client fails to retain assesseddocumentation for the lifetime of thecertificate

• improper use is made of the certificate, orthe LR Software Conformity Mark, or of LR’sname

• due settlement of fees for LR’s servicesassociated with the Software ConformityAssessment is not completed

• the producer moves from the addressdetailed in the certificate, withoutinforming LR in writing

• the producer otherwise fails to fulfil theresponsibilities detailed on page 11.

In addition, a Software Conformity Certificatewill be cancelled if:

• the software producer does not wish toextend the certification

• the software is no longer marketed.

If LR considers that a Software ConformityCertificate should be cancelled, the producerwill be informed in writing and requested torespond by a specified date. If adequateexplanation or corrective action is notreceived by LR’s Software Conformity SystemManager by the given date, the producerwill again be advised of the situationtogether with the proposed time ofcancellation.

LR may publish details of cancelled SoftwareConformity Certificates, together with reasons,if considered necessary.

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If a dispute arises concerning the conduct,outcome or cancellation of an LR SoftwareConformity Certification, the producer shouldfirst discuss the matter with the assessorwho led the inspection of the software.

If the producer is still not satisfied, thematter should be brought to the attention ofLR’s Software Conformity System Manager.

If satisfactory agreement still cannot bereached, LR’s Software Conformity SystemManager will inform the producer in writingthat he may take his appeal to theCertification Assessment Panel. This can bedone either by correspondence with thePanel or by attendance, together with theSystem Manager, at a meeting of the Panel.

Upon receipt of the LR Software ConformityCertificate, the producer can use the LR

Software Conformity Mark. This may beincluded on user documentation, packaging,promotional literature or equipmentcontaining the software with the followingminimum information:

• name of producer

• name and version of software product

• LR Software Conformity Certificate number(optional, at the producer’s discretion).

Artwork for the Mark may be obtained invarious sizes and materials. Applicationsshould be made to the PublicationsDepartment, LR headquarters.

The Software Conformity Mark must be usedin compliance with the applicablespecification for the Mark and only forsoftware designed and manufactured instrict conformity with the assessed softwareduring the period of certification validity.

9

APPEALS LR SOFTWARECONFORMITY MARK

SCS O F T W A R ECONFORMITY

LR Software Conformity Mark


LR’s services associated with LR SoftwareConformity Assessment will be charged on thebasis of a single inclusive fee for theassessment inspections and the assessmentreport. If the assessment is successful theaward of a Software Conformity Certificate andthe use of the Software Conformity Mark arefree of charge.

Fee quotations are based on the completedocumentation being available andsubmitted in English, as required underAssessment Procedure – (page 4).Translation costs may be incurred fordocumentation submitted in otherlanguages, which will be invoiced extra atcost.

In the case of resubmission for assessment orextension to a certificate, a quotation will bemade upon acceptance of an application forresubmission or extension.

Written quotations for LR’s servicesassociated with LR Software ConformityAssessment are applicable for twelve months.If, at the end of that time, the assessment hasnot begun, a revised quotation may berequested.

Should a client withdraw his application forLR Software Conformity Assessment forwhatever reason, LR reserves the right tocharge fees for costs incurred to the date ofwithdrawal.

10

FEES FOR LR SOFTWARECONFORMITY ASSESSMENT


11

PRODUCER’S RESPONSIBILITY

It is the producer’s responsibility, insupplying software which has been awardedLR Software Conformity, to ensure that:

• each copy supplied is in strict conformitywith that certified by LR

• each copy supplied is provided withadequate transit protection andpackaging to maintain conformity withthe LR Software Conformity Certification

• each copy supplied is provided withappropriate instructions for the software,its installation and its purpose. Theseshould include any warnings with respectto doing or refraining from doinganything with or in relation to thesoftware, its installation and its purpose.

The producer may only make reference toLR, the LR Software Conformity Mark or LR’sname in advertising or otherwise, forsoftware products that have been certified byLR. The producer should not attempt tomislead purchasers concerning LR SoftwareConformity Assessment by claiming functionsor purposes for the software not covered bythe certification.

The producer must retain all assesseddocumentation until at least seven yearsafter the associated certificate expires.

The producer must provide reasonableaccess to premises for visits in connectionwith LR Software Conformity Assessment andmust maintain and make available to LR, onrequest, records of discovered faults andcustomer complaints concerning thesoftware product.

The producer must annually re-submit theirquality system documentation (concerningconfiguration management, replication andmaintenance) to LR, if it has changed sincethe last submission. If it has not changed, astatement to this effect should be submittedto LR.

The producer may reprint some or all of theassessment report for advertising ormarketing purposes once written permissionhas been obtained from LR.


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PUBLICATION

All software certified by LR will be includedin the List of LR Software Conformity CertifiedSoftware Products which will be published inEnglish by LR and updated periodically.

Precise terms of reference contained in the LR

Corporate Quality Manual QS 02-00 relate tothe organisation and staff of LR and therequirements for the quality of serviceprovided by LR.

LR undertakes to ensure that current issues ofthe LR Software Conformity Assessment Systemand other appropriate documentation areavailable to all its representatives, located inexclusive and non-exclusive officesworldwide.

LR undertakes to ensure the strictconfidentiality of information received in thecourse of its services.

DECLARATION


DEFINITIONS

Architectural DesignThe process of designing a collection ofhardware and software components andtheir interfaces to establish the frameworkfor the development of a computer system.(Ref. 2)

Black Box(1) A system or component whose inputs,outputs, and general function are known butwhose contents or implementation areunknown or irrelevant.(2) Pertaining to an approach that treats asystem or component as in (1). (Ref. 2)

CertificationProcedure by which a third party giveswritten assurance that a product, process orservice conforms to specified requirements.(Ref. 5)

Change ControlAn element of configuration management,consisting of the evaluation, coordination,approval or disapproval, andimplementation of changes to configurationitems after formal establishment of theirconfiguration identification. (Ref. 2)

Configuration ManagementA discipline applying technical andadministrative direction and surveillance to:identify and document the functional andphysical characteristics of a configurationitem, control changes to those characteristics,record and report change processing andimplementation status, and verifycompliance with specified requirements.(Ref. 2)

ConformityThe fulfilment by a product, process orservice of specified requirements. (Ref. 5)

CriterionA standard by which something can bejudged or decided.

DeliveryRelease of a system or component to itscustomer or intended user. (Ref. 2)

Design SpecificationA document that describes the design of asystem or component. Typical contentsinclude system or component architecture,control logic, data structures, input/outputformats, interface descriptions, andalgorithms. (Ref. 2)

Detailed DesignThe process of refining and expanding thepreliminary design of a system orcomponent to the extent that the design issufficiently complete to be implemented.(Ref. 2)

Glass Box(1) A system or component whose internalcomponents or implementation are known.(2) Pertaining to an approach that treats asystem or component as in (1). (Ref. 2)

HardwarePhysical equipment used to process, store, ortransmit computer programs or data. (Ref. 2)

InspectionA static analysis technique that relies onvisual examination of development productsto detect errors, violation of developmentstandards and other problems. (Ref. 2)

Installation ManualA document that provides the informationnecessary to install a system or component,set initial parameters, and prepare thesystem or component for operational use.(Ref. 2)

Integration TestingTesting in which software components,hardware components, or both are combinedand tested to evaluate the interactionbetween them. (Ref. 2)

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MaintenanceThe process of modifying a software systemor component after delivery to correct faults,improve performance or other attributes, oradapt to a changed environment. (Ref. 2)

ProducerThe organisation which either produced theproduct, who abstracted it, or who carriedout the industrial or other process whichgave it its essential attributablecharacteristics. (Ref. 1)

ProductAll goods produced either by abstraction,manufacture or a natural, industrial or otherprocess and includes a product which iscomprised in another product, whether byvirtue of being a component part or rawmaterial or otherwise. (Ref. 1)

Requirement(1) A condition or capability needed by auser to solve a problem or achieve anobjective.(2) A condition or capability that must bemet or possessed by a system or systemcomponent to satisfy a contract, standard,specification or other formally imposeddocuments. (Ref. 2)

Requirements SpecificationA document that specifies the requirementsfor a system or component. Typicallyincluded are functional requirements,performance requirements, interfacerequirements, design requirements anddevelopment standards. (Ref. 2)

ReviewA process or meeting during which a workproduct, or set of work products, ispresented to project personnel, managers,users, customers or other interested partiesfor comment or approval. (Ref. 2)

SoftwareComputer programs, procedures, and[possibly] associated documentation anddata pertaining to the operation of acomputer system. (Ref. 2)

Software Development ProcessThe process by which user needs aretranslated into a software product. Theprocess involves translating user needs intosoftware requirements, transforming thesoftware requirements into design,implementing the design in code, testing thecode, and sometimes, installing andchecking the software for operational use.Note: These activities may overlap or beperformed iteratively. (Ref. 2)

Source CodeComputer instructions and data definitionsexpressed in a form suitable for input to anassembler, compiler or other translator.(Ref. 2)

StandardsMandatory requirements employed andenforced to prescribe a disciplined uniformapproach to software development, that is,mandatory conventions and practices are infact standards. (Ref. 2)

System SoftwareSoftware designed to facilitate the operationand maintenance of the computer systemand its associated programs, for example,operating systems, assemblers, utilities.(Ref. 2)

System TestingTesting conducted on a complete, integratedsystem to evaluate the system’s compliancewith its specified requirements. (Ref. 2)

Test PlanA document describing the scope, approach,resources, and schedule of intended testactivities. It identifies test items, the featuresto be tested, the testing tasks, who will doeach task, and any risks requiringcontingency planning. (Ref. 6)

Test ReportA document that describes the conduct andresults of the testing carried out for a systemor component. (Ref. 2)

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Test SpecificationA document that specifies the test inputs,execution conditions and predicted resultsfor an item to be tested. (Ref. 2)

Unit TestingTesting of individual hardware or softwareunits or groups of related units. (Ref. 2)

UserPerson who uses software to perform sometask. (Ref. 3)

User DocumentationDocumentation describing the way in whicha system or component is to be used toobtain desired results. (Ref. 2)

User ManualA document that presents the informationnecessary to employ a system or componentto obtain desired results. Typically describedare system or component capabilities,limitations, options, permitted inputs,expected outputs, possible error messagesand special instructions. (Ref. 2)

ValidationThe process of evaluating software to ensurecompliance with specified requirements.(Ref. 4)

VerificationThe process of evaluating the products of agiven phase to ensure correctness andconsistency with respect to the products andstandards provided as input to that phase.

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User manual(s)

Installation manual(s)

Proposed area of application of the product

Operational limitations of the product

Requirements specification

Any applicable standard(s) or codes ofpractice governing the softwaredevelopment. (These are to include orreference the design method, codingstandards, language definitions andcompilers used.)

Design specification. (This is to include thefunctional and performance aspects of boththe architectural and the detailed design.)

Source code (in both listing andelectronically readable form)

Specification of the operating environment(s)for which certification is sought (this mustinclude both the hardware and the systemsoftware specifications)

Unit and integration test plans

Unit and integration test specifications

Test reports

Records of reviews, inspections, proofs andother verification and validation activities.

System test plan

System test specification

System test report

A declaration that the system tests havesuccessfully passed.

Certificates and reports for relevant testspreviously obtained for the software.Configuration management procedures

Configuration status histories

Replication and delivery procedures

Maintenance and upgrading procedures

Change control records

NB: Suitable means to execute the softwareare to be provided such as an executableimage or a compiler.

16

ANNEX 1: SUBMISSION INFORMATION


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be c

ond

ucte

d a

t LR

pre

mis

es?

■■Y

es ■■

No

Is th

e as

sess

men

t to

take

pla

ce a

t the

end

of d

evel

opm

ent ■■

or d

urin

g d

evel

opm

ent?

■■

If “

Yes

”, in

clud

e fu

ll d

etai

ls a

nd la

test

prod

ucti

on d

ocum

enta

tion

.

Wha

t is

your

rel

atio

nshi

p w

ith

the

prod

ucer

?

6. D

ESC

RIP

TIO

N O

F P

RO

DU

CT

7. C

ON

FIG

UR

AT

ION

IN

FOR

MA

TIO

NSt

ate

the

vers

ion

num

ber

and

any

oth

er c

onfi

gura

tion

info

rmat

ion.

8. A

SSE

SSM

EN

T M

OD

UL

ES

Plea

se s

tate

the

mod

ules

that

the

prod

uct i

s to

be

cert

ifie

d a

s co

mpl

ying

wit

h.

Com

plet

e th

is s

ecti

on O

NL

Y if

det

ails

in b

oxes

1 &

2 a

re d

iffe

rent

.

Whe

re th

is is

a b

ilate

ral a

gree

men

t,eg

. lic

ense

e, in

clud

e a

stat

emen

t fro

mth

e pr

oduc

er c

onfi

rmin

g th

e ag

reem

ent.

Kee

p th

is d

escr

ipti

on b

rief

and

as

you

wis

h it

to a

ppea

r on

the

cert

ific

ate.

5. P

RO

DU

CT

AC

CO

UN

TA

BIL

ITY


SP

EC

IM

EN

18

Llo

yd’s

Reg

iste

r of

Shi

ppin

g, r

egis

tere

d o

ffic

e: 7

1 Fe

nchu

rch

Stre

et, L

ond

on E

C3M

4B

SFO

RM

259

2 (1

2/94

) 4/

4

10.

DE

CL

AR

AT

ION

We

dec

lare

that

the

info

rmat

ion

give

n in

this

form

is a

ccur

ate

and

com

plet

e an

d th

at L

R S

oftw

are

Con

form

ity

Ass

essm

ent i

s re

ques

ted

for

the

prod

ucts

det

aile

d h

erei

n.

We

agre

e to

giv

e L

R’s

sur

veyo

rs e

very

faci

lity

and

nec

essa

ry a

cces

s to

car

ry o

ut th

eir

dut

ies

and

agr

ee to

pay

the

fees

and

exp

ense

s in

curr

ed fo

rth

ese

serv

ices

pro

vid

ed b

y L

R r

esul

ting

from

this

req

uest

.

It is

und

erst

ood

that

in th

e ev

ent o

f LR

Sof

twar

e C

onfo

rmit

y A

sses

smen

t not

bei

ng c

ompl

eted

, LR

res

erve

s th

e ri

ght t

o ch

arge

pro

-rat

a fo

r it

sse

rvic

es. I

f wor

k ex

tend

s ov

er a

pro

long

ed p

erio

d, L

R r

eser

ves

the

righ

t to

clai

m p

aym

ent a

t qua

rter

ly in

terv

als,

or

at a

gree

d s

tage

s.

Thi

s re

ques

t is

mad

e up

on th

e fo

llow

ing

term

s:

LR

Sof

twar

e C

onfo

rmit

y A

sses

smen

t cer

tifi

es th

at th

e pr

oduc

t(s)

ref

erre

d to

her

ein

has

been

foun

d to

mee

t the

app

licab

le a

sses

smen

t cri

teri

a fo

rth

e us

e sp

ecif

ied

her

ein.

It d

oes

not m

ean

or im

ply

that

the

prod

uct(

s) h

as/

have

bee

n as

sess

ed fo

r an

y ot

her

use,

or

dev

elop

ed in

a m

anne

r ot

her

than

sta

ted

in th

e sa

id in

form

atio

n su

pplie

d to

LR

.

LR

Sof

twar

e C

onfo

rmit

y A

sses

smen

t is

base

d o

n th

e un

der

stan

din

g of

com

plia

nce

wit

h th

e m

anuf

actu

rer’

s re

com

men

dat

ions

and

inst

ruct

ions

and

any

rel

evan

t req

uire

men

ts o

f the

Rul

es a

nd R

egul

atio

ns o

f Llo

yd’s

Reg

iste

r of

Shi

ppin

g.

LR

Sof

twar

e C

onfo

rmit

y A

sses

smen

t doe

s no

t elim

inat

e th

e ne

ed fo

r no

rmal

insp

ecti

on a

nd s

urve

y pr

oced

ures

req

uire

d b

y th

e R

ules

and

Reg

ulat

ions

of L

loyd

’s R

egis

ter

of S

hipp

ing.

LR

res

erve

s th

e ri

ght t

o ca

ncel

an

LR

Sof

twar

e C

onfo

rmit

y A

sses

smen

t Cer

tifi

cate

as

det

aile

d in

LR

Sof

twar

e C

onfo

rmit

y A

sses

smen

t Sys

tem

-Pr

oced

ure

SC94

.

In p

rovi

din

g se

rvic

es, i

nfor

mat

ion

or a

dvi

ce, n

eith

er L

R n

or a

ny o

f its

off

icer

s, e

mpl

oyee

s or

age

nts

war

rant

s th

e ac

cura

cy o

f any

info

rmat

ion

orad

vice

sup

plie

d. E

xcep

t as

set o

ut h

erei

n, n

eith

er L

R n

or a

ny o

f its

off

icer

s, e

mpl

oyee

s or

age

nts

(on

beha

lf o

f eac

h of

who

m L

R h

as a

gree

d th

iscl

ause

) sha

ll be

liab

le fo

r an

y lo

ss, d

amag

e or

exp

ense

wha

teve

r su

stai

ned

by

any

pers

on d

ue to

any

act

, om

issi

on o

r er

ror

of w

hats

oeve

r na

ture

and

how

soev

er c

ause

d o

f LR

, its

off

icer

s, e

mpl

oyee

s or

age

nts

or d

ue to

any

inac

cura

cy o

f wha

tsoe

ver

natu

re a

nd h

owso

ever

cau

sed

in a

nyin

form

atio

n or

ad

vice

giv

en in

any

way

wha

tsoe

ver

by o

r on

beh

alf o

f LR

, eve

n if

hel

d to

am

ount

to a

bre

ach

of w

arra

nty.

Nev

erth

eles

s, if

any

pers

on w

ho is

par

ty to

the

agre

emen

t pur

suan

t to

whi

ch L

R p

rovi

des

any

ser

vice

, use

s L

R’s

ser

vice

s or

rel

ies

on a

ny in

form

atio

n or

ad

vice

giv

enby

or

on b

ehal

f of L

R a

nd s

uffe

rs lo

ss, d

amag

e or

exp

ense

ther

eby

whi

ch is

pro

ved

to h

ave

been

due

to a

ny n

eglig

ent a

ct, o

mis

sion

or

erro

r of

LR

,it

s of

fice

rs, e

mpl

oyee

s or

age

nts

or a

ny n

eglig

ent i

nacc

urac

y in

info

rmat

ion

or a

dvi

ce g

iven

by

or o

n be

half

of L

R, t

hen

LR

will

pay

com

pens

atio

nto

suc

h pe

rson

for

his

prov

ed lo

ss u

p to

but

not

exc

eed

ing

the

amou

nt o

f the

fee

(if a

ny) c

harg

ed b

y L

R fo

r th

at p

arti

cula

r se

rvic

e, in

form

atio

n or

advi

ce.

LR

, its

off

icer

s, e

mpl

oyee

s an

d a

gent

s (o

n be

half

of e

ach

of w

hom

this

not

ice

is g

iven

) sha

ll be

und

er n

o lia

bilit

y or

res

pons

ibili

ty in

neg

ligen

ce o

rot

herw

ise

how

soev

er to

any

per

son

who

is n

ot a

par

ty to

the

agre

emen

t wit

h L

R in

res

pect

of a

ny in

form

atio

n or

ad

vice

exp

ress

ly o

r im

plie

dly

give

n by

LR

or

in r

espe

ct o

f any

act

, om

issi

on o

r in

accu

racy

by

LR

.

LR

sha

ll in

no

circ

umst

ance

s be

liab

le fo

r in

dir

ect o

r co

nseq

uent

ial l

oss

or d

amag

e (i

nclu

din

g bu

t wit

hout

lim

itat

ion

loss

of p

rofi

t, lo

ss o

f con

trac

tsor

loss

of u

ser)

suf

fere

d o

r in

curr

ed b

y an

y pe

rson

res

ulti

ng fr

om a

ny fa

ilure

by

LR

in th

e pe

rfor

man

ce o

f its

obl

igat

ions

in a

n ag

reem

ent.

Sign

atur

eD

ate

Nam

e in

BL

OC

K C

API

TA

LS

Our

Ref

eren

ce

Posi

tion

in C

ompa

ny

1.User manual

2.Installation manual

3.Area of application

4.Operational limitations

5.Requirements specification

6.Standards

7.Design specification

8.Source code

9.Operating environment specification

10.Unit/integration test plans

11.Unit/integration test specifications

12.Test reports

13.Verification/validation records

14.System test plan

15.System test specification

16.System test report

17.System test pass declaration

18.Certificates

19.Configuration management procedures

20.Configuration status histories

21.Replication/delivery procedures

22.Maintenance/upgrading procedures

23.Change control records

INFORMATION REQUIRED

NOTES: Enter references for documents supplied in top row. Fill in squares in grid where supplied documents contain required information, preferably with an indication of where thatinformation may be found. Definitions of terms 1 – 23 may be found in Procedure SC94. If necessary, copies of the blank form may be made.

DO

CU

ME

NT

AT

ION

SU

PP

LIE

D

Llo

yd’s

Reg

iste

r of

Shi

ppin

g, r

egis

tere

d o

ffic

e: 7

1 Fe

nchu

rch

Stre

et, L

ond

on E

C3M

4B

SFO

RM

259

2 (1

2/94

) 3/

4

9. D

OC

UM

EN

TA

TIO

N C

HE

CK

LIS

T


19

REFERENCES

Ref. 1 LR Type Approval System : Procedure.Lloyd’s Register of Shipping, 1990.

Ref. 2 IEEE Std 610.12-1990, IEEE StandardGlossary of Software EngineeringTerminology.

Ref. 3 IEEE Std 1063-1987, IEEE Standard forSoftware User Documentation.

Ref. 4 ISO 9000-3:1991(E), Guidelines for theapplication of ISO 9001 to thedevelopment, supply andmaintenance of software.

Ref. 5 ISO/IEC Guide 2:1991, General termsand their definitions concerningstandardization and related activities.

Ref. 6 ANSI/IEEE Std 829-1983, IEEE Standardfor Software Test Documentation.

Ref. 7 COM (89) 209 (July 1989): A GlobalApproach to Certification andTesting. Published in the Journal ofthe EC.


© LLOYD’S REGISTER OF SHIPPING 1995

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Except as permitted under current legislation no part of

this work may be photocopied, stored in a retrieval

system, published, performed in public, adapted,

broadcast, transmitted, recorded or reproduced in any

form or by any means, without prior permission of the

copyright owner. Enquiries should be directed to the

above address.

TERMS AND CONDITIONS

Lloyd’s Register of Shipping (hereinafter referred to as

‘LR’), its officers, employees and agents (on behalf of

whom this notice is issued) shall be under no liability or

responsibility in negligence or otherwise howsoever to

any person in respect of any information or advice

expressly or impliedly given in this brochure, or in

respect of any inaccuracy herein or omission herefrom, or

in respect of any act or omission which has caused or

contributed to this brochure being issued with the

information or advice it contains (if any).

Without derogating from the generality of the foregoing,

neither LR, nor its officers, employees or agents shall be

liable in negligence or otherwise howsoever for any indirect

or consequential loss to any person caused by or arising

from any information, advice, inaccuracy or omission being

given or contained herein or any act or omission causing or

contributing to any such information, advice, inaccuracy or

omission being given or contained herein.


Type Approval DepartmentMarine Advisory Services

Lloyd’s Register of Shipping71 Fenchurch StreetLondon EC3M 4BS

Tel: +44 (0) 20 7709 9166Fax: +44 (0) 20 7488 4796

Email: [email protected]

© Lloyd’s Register of Shipping 1995Designed by Claire Mackessy

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