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Software
Conformity
Assessment
System
PROCEDURE SC94
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FOREWORD
This procedure outlines the provisions for
software certification through the Lloyd’s
Register Software Conformity Assessment
system. It supersedes all previous
publications on the subject.
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Software Conformity Assessment System: PROCEDURE SC94
CONTENTS
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
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OVERVIEW
Lloyd’s Register (LR) Software Conformity
Assessment is an impartial certification
system based on assessment of software
products against published criteria. It
involves inspection of requirements, design,
testing, verification, configuration
management and maintenance.
Software Conformity Assessment provides
independent third-party certification to
assure the quality of software products. In
particular it provides an assurance of
compliance with published assessment
criteria (see page 3), which are derived from
relevant industry standards and guidelines.
The criteria are aimed at establishing that
development, verification and testing give
confidence in the performance and
functionality of the software.
•
assessment can either be timed to run in
parallel with development or it can be
carried out at the end of development
•
assessment can be done at a producer’s
site or at LR’s premises
•
certification can cover multiple versions
of the same product (subject to certain
requirements being met (see Assessment
Procedure, page 4)
•
extension certificates to cover new
versions of products (for example,
upgrades or ports) or to demonstrate
conformance with new standards, can be
issued without the need for full reassessment
•
it can be used in conjunction with the LR
Type Approval System (Ref. 1) for
hardware.
LR
Software Conformity Assessment is a
versatile system which is applicable to a
wide range of software products, including
system, embedded and application software,
with applications in a variety of industrial
sectors.
LR
Software Conformity Assessment is
applicable in all situations where reliance is
placed on software integrity. It may be used
to:
LR
•
demonstrate the integrity of software
products to customers or third parties
•
monitor subcontractors or suppliers in
bespoke developments
•
show tangible benefits from a wider
process improvement programme.
LR Software Conformity Assessment includes
the following features:
•
it is aimed at specific products, as distinct
from quality management
•
assessment criteria are selected and
agreed with the client before assessment
commences
2
Successful assessment results in the award of
a certificate, the right to use a Software
Conformity Mark (see example on page 9) and
entry of the product details in a published
register of certified products. In addition,
permission may be given for the assessment
report to be used to promote the product.
Software Conformity Assessment meets the
general requirements for third-party
certification systems detailed in EN 45011
(1989) and ISO/IEC Guide 28 : 1982. In
addition, it is in line with the EU global
approach to conformity assessment (Ref. 7).
LR
Software Conformity Assessment is coordinated and conducted by staff at LR’s
headquarters. LR is an entirely independent
international organisation which provides
impartial technical and advisory services. Its
income is derived principally from the fees
charged for its services and any surplus is
used for the improvement of those services.
LR is recognised in UK law as a body whose
business is conducted for the benefit of the
community.
LR
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ASSESSMENT CRITERIA
As a certification body, LR retains a
permanent, full-time staff responsible for the
operation of its certification systems and
ensuring that its activities are free from any
external commercial interest.
In order to assist the reader, certain
definitions have been selected from national
and international guides and standards,
where appropriate. (see page 13, Definitions)
Software Conformity Certificates are
awarded on the basis of assessment
according to the procedure on page 4, to
confirm that the assessment criteria are
satisfied. The assessment criteria are
published as separate documents
(assessment modules) and assessment is
against the criteria contained in one or more
of these modules.
LR
New modules will be published from time to
time to account for new or modified national
or international standards and for
developments in software engineering.
The modules to be used for the assessment
will be agreed between the client and LR.
However LR reserves the right to refuse
applications for Software Conformity
Assessment where certification is required
against criteria which are not considered
suitable.
Software development
Development products
In principle, deviations from the agreed
criteria are not permitted. However, a
limited number of minor deviations may be
permitted at LR’s discretion but these will be
referenced on the resulting certificate.
Certificate
LR Software Conformity Certificates are
awarded on the understanding that the
producer’s recommendations and
instructions for the installation and
application of the software are adhered to.
Assessment Modules
(based on codes of practice,
standards etc)
4115/01
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ASSESSMENT PROCEDURE
General
Software Conformity Assessment involves
assessment of software requirements,
specification, design, testing, verification,
configuration management and maintenance.
This is primarily achieved by inspection of
documents and records, testing and test
witnessing. If required, inspection can be
carried out at the producer’s premises.
Furthermore, for products still under
development, the assessment process can be
partitioned and timed to suit the constraints
of the producer’s software development cycle.
LR
The completed request form can be
submitted to either the local LR office or to
LR’s headquarters.
•
The necessary information (see Annex 1)
should be submitted with the application.
•
will normally offer a short initial
assessment, after which the remainder of
the assessment can be scoped and
planned. An initial assessment report will
identify any major shortcomings
identified.
Software Conformity Assessment is
conducted by the Engineering Services
Group at LR’s headquarters under the overall
coordination of the Type Approval
Department.
•
LR
Application for LR Software Conformity
Assessment
Application for LR Software Conformity
Assessment is to be made on a Request for
Software Conformity Assessment form which
should be completed in full by the client.
Copies may be obtained from a local LR
representative or from LR’s headquarters.
4
Assessment carried out in parallel with
development
will normally offer a short initial
assessment to determine the current state
of development and plan the co-ordination
of the remaining activities.
LR
Any special arrangements or problems with
the application should be resolved by
discussion with LR.
Software Conformity Assessment is aimed at
assessing and certifying software for use in a
defined operating environment. However
the system software that supports the
operation of the submitted software may be
assessed separately under this system while
the associated hardware may be approved
under the LR Type Approval System (Ref. 1).
LR
Software Conformity Assessment may be
sought for more than one operating
environment or for more than one version of
the software. This is desirable for software
designed to operate on a variety of hardware
platforms and operating systems or where
two or more releases of the software
continue to be marketed and supported by
the producer. Where this is the case the
producer must ensure that the submitted
LR
A separate request form for LR Software
Conformity Assessment should be completed
for each software product and every place of
production for which application is being
made.
Assessment of completed development at
developer’s or client’s premises
LR
LR
may recognise existing certificates or
reports issued by other certification bodies,
accredited testing laboratories or approval
organisations provided such certificates and
reports are considered by LR to fulfil the
requirements specified for LR Software
Conformity Assessment. Further supporting
information to confirm the adequacy of such
certificates and reports may be required at
LR’s discretion.
Assessment of completed development at LR’s
premises
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documentation clearly shows how the
design, testing and configuration
management aspects of the software are
handled for each operating environment and
for each version of the software.
LR
All enquiries relating to additional services
offered by LR in connection with the Software
Conformity Assessment system should be
made to either the local LR office or LR
headquarters.
Design Inspection
Assessment Inspections
An assessment can typically be broken down
into the following phases (these are
indicative only – the exact details will
depend on the development life cycle and
the assessment module).
may require system tests to be repeated
by the producer and witnessed by an
authorised representative where the tests
are particularly complex or the operating
environment cannot be installed at LR’s offices.
Design inspection provides an assurance of
the technical adequacy of the design and
increases confidence in the ability of the
software to perform correctly for cases other
than those specifically tested. This is
achieved by examining the products of the
software development process, and their
verification and validation (including unit
and integration testing).
The design will be evaluated in all cases by
inspecting:
Specification Inspection
Specification inspection determines whether
the software requirements are clearly, fully
and logically specified. It provides the
assessor with an understanding of the
functional and performance claims that are
made for the software and therefore forms
an important basis for the system test
inspection and design inspection.
System Test Inspection
•
design specifications
•
source code
•
operating environment specifications
•
unit and integration test plans,
specifications and reports
•
applicable standards or codes of practice
governing the software development
•
records of reviews, inspections, proofs
and other verification and validation
activities.
System test inspection determines whether:
•
the specified system tests are appropriate
and adequate for the software under
assessment and that they have well
defined acceptance criteria
•
all the specified tests have been
performed and passed according to the
acceptance criteria.
This inspection comprises an analysis of the
system test documents and the rerunning of
a sample of the system tests. These
documents include the system test plan, test
specification, test input data, test reports and
any other referenced documents.
Any other data the applicant submits as
evidence for the technical adequacy of the
development of the product will be used by
LR if required. The documents and source
code will be assessed against the criteria for
design inspections.
Replication, Delivery and Maintenance
Inspection
The replication, delivery and maintenance
inspection examines evidence that:
•
effective configuration management has
been applied to the software
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•
the replication procedures deliver correct
and complete copies of the software
product
•
a defined maintenance and upgrading
policy is in place.
It comprises an inspection of the procedures
and records for configuration management,
replication and maintenance. The documents
and records will be assessed against the
criteria for configuration management
inspections.
This inspection may be supported, if
necessary, by LR conducting an audit of the
operation of these procedures for the
software being assessed.
Assessment Report
On completion of the conformity assessment
a preliminary assessment report will be
issued which presents the detailed findings
of the assessment. The client will be given
the opportunity to comment on any factual
errors concerning the evidence assessed.
A final assessment report will be issued,
which takes into account any comments
from the client. It will contain a summary of
the overall findings of the assessment,
indicating whether LR is satisfied that all the
requirements for LR Software Conformity
Assessment have been met. Copyright in the
report will be retained by LR.
The assessment report is valid only for the
software version(s) and the operating
environment(s) that are identified in it.
Resubmission
The assessment report may indicate that the
requirements for LR Software Conformity
Assessment have not been met. In this case
the client may take remedial action to
address the non-conformances and resubmit
the software. Where the resubmission is
6
made within 12 months of the issue of the
assessment report then only those parts of
the software affected by the remedial action
will be re-assessed.
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CERTIFICATION
General
Period of Validity
If the software satisfies the requirements of
LR Software Conformity Assessment, a
certificate will be authorised.
LR Software Conformity Certificates are
normally valid for a maximum period of
three years from the date of issue.
Issue of a Certificate
Extending a Certificate
The Software Conformity Certificate will
contain the following minimum information:
A Software Conformity Certificate may be
extended by the issue of an extension
document if:
•
name and address of the producer’s
registered office
•
place of production (if different)
•
identification of the certified software
exactly by description, version number(s)
and any other relevant configuration
information
•
identification of the environments
(hardware and system software) that the
software has been certified to operate in;
this is to be done exactly by descriptions,
version numbers and any other relevant
configuration information.
•
any other operational limits or conditions
on the use of the software
•
a statement to the effect that the certificate
has been awarded by LR
•
the specific assessment modules to which
the software has been certified to conform
•
references to any non-conformances with
the assessment criteria
•
certificate number and date of issue.
•
expiry date of certificate.
•
a statement of the terms and conditions
covering LR Software Conformity
Assessment.
The Software Conformity Certificate will be
signed by an authorised officer in LR’s
headquarters.
• the producer wishes to extend the period
of validity of the certification
•
the producer wishes the certification to
cover additional versions of the software
to those already assessed
•
the producer wishes the certification to
attest to the conformity of the software
with additional specifications or
standards
•
the producer wishes the certification to
include an additional place of replication
•
an amendment is agreed to the original
certificate.
Upon receipt of an application for extending
a Software Conformity Certificate, LR will
advise the client of any additional provisions
such as additional information, inspection or
testing to be fulfilled in order that an
extension may be awarded. In particular,
fault reports and customer complaints will
be examined.
Provided the application for extending a
Software Conformity Certificate is accepted,
and any additional provisions fulfilled, LR
will issue an Extension to Software Conformity
Certificate which supplements the original
certification.
An Extension Certificate is valid for a
maximum period of three years from the
date of issue. Normally, applications for
extended certification should be made in
writing at least three months before they are
required (in cases concerning expiring
certificates, this is three months before the
expiry date). In situations where extended
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certification is required rapidly, for example
to certify a new software version containing
an emergency bug fix, LR should be
informed immediately.
If any additional provisions are fulfilled by
the software appropriate statements will be
included on the Extension to Software
Conformity Certificate.
The maximum period for all extensions is up
to 12 years from the date of issue of the
original certificate. After this time a full reassessment of the software will be required.
Cancellation
LR reserves the right to cancel a Software
Conformity Certificate if:
•
any design changes are made to certified
software which are deemed to adversely
affect the provisions under which LR
Software Conformity Certification was
awarded
•
safety or any other feature of the certified
software is found to be unsatisfactory in
service
•
the client fails to retain assessed
documentation for the lifetime of the
certificate
•
improper use is made of the certificate, or
the LR Software Conformity Mark, or of LR’s
name
•
due settlement of fees for LR’s services
associated with the Software Conformity
Assessment is not completed
•
the producer moves from the address
detailed in the certificate, without
informing LR in writing
•
the producer otherwise fails to fulfil the
responsibilities detailed on page 11.
8
In addition, a Software Conformity Certificate
will be cancelled if:
•
the software producer does not wish to
extend the certification
•
the software is no longer marketed.
If LR considers that a Software Conformity
Certificate should be cancelled, the producer
will be informed in writing and requested to
respond by a specified date. If adequate
explanation or corrective action is not
received by LR’s Software Conformity System
Manager by the given date, the producer
will again be advised of the situation
together with the proposed time of
cancellation.
LR may publish details of cancelled Software
Conformity Certificates, together with reasons,
if considered necessary.
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APPEALS
LR SOFTWARE
CONFORMITY MARK
If a dispute arises concerning the conduct,
outcome or cancellation of an LR Software
Conformity Certification, the producer should
first discuss the matter with the assessor
who led the inspection of the software.
Upon receipt of the LR Software Conformity
Certificate, the producer can use the LR
Software Conformity Mark. This may be
included on user documentation, packaging,
promotional literature or equipment
containing the software with the following
minimum information:
If the producer is still not satisfied, the
matter should be brought to the attention of
LR’s Software Conformity System Manager.
If satisfactory agreement still cannot be
reached, LR’s Software Conformity System
Manager will inform the producer in writing
that he may take his appeal to the
Certification Assessment Panel. This can be
done either by correspondence with the
Panel or by attendance, together with the
System Manager, at a meeting of the Panel.
•
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 in
various sizes and materials. Applications
should be made to the Publications
Department, LR headquarters.
The Software Conformity Mark must be used
in compliance with the applicable
specification for the Mark and only for
software designed and manufactured in
strict conformity with the assessed software
during the period of certification validity.
SC
S O F T WAR E
CONFORMITY
LR Software Conformity Mark
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FEES FOR LR SOFTWARE
CONFORMITY ASSESSMENT
services associated with LR Software
Conformity Assessment will be charged on the
basis of a single inclusive fee for the
assessment inspections and the assessment
report. If the assessment is successful the
award of a Software Conformity Certificate and
the use of the Software Conformity Mark are
free of charge.
LR’s
Fee quotations are based on the complete
documentation being available and
submitted in English, as required under
Assessment Procedure – (page 4).
Translation costs may be incurred for
documentation submitted in other
languages, which will be invoiced extra at
cost.
In the case of resubmission for assessment or
extension to a certificate, a quotation will be
made upon acceptance of an application for
resubmission or extension.
Written quotations for LR’s services
associated with LR Software Conformity
Assessment are applicable for twelve months.
If, at the end of that time, the assessment has
not begun, a revised quotation may be
requested.
Should a client withdraw his application for
Software Conformity Assessment for
whatever reason, LR reserves the right to
charge fees for costs incurred to the date of
withdrawal.
LR
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PRODUCER’S RESPONSIBILITY
It is the producer’s responsibility, in
supplying software which has been awarded
LR Software Conformity, to ensure that:
•
each copy supplied is in strict conformity
with that certified by LR
•
each copy supplied is provided with
adequate transit protection and
packaging to maintain conformity with
the LR Software Conformity Certification
•
each copy supplied is provided with
appropriate instructions for the software,
its installation and its purpose. These
should include any warnings with respect
to doing or refraining from doing
anything with or in relation to the
software, its installation and its purpose.
The producer may reprint some or all of the
assessment report for advertising or
marketing purposes once written permission
has been obtained from LR.
The producer may only make reference to
the LR Software Conformity Mark or LR’s
name in advertising or otherwise, for
software products that have been certified by
LR. The producer should not attempt to
mislead purchasers concerning LR Software
Conformity Assessment by claiming functions
or purposes for the software not covered by
the certification.
LR,
The producer must retain all assessed
documentation until at least seven years
after the associated certificate expires.
The producer must provide reasonable
access to premises for visits in connection
with LR Software Conformity Assessment and
must maintain and make available to LR, on
request, records of discovered faults and
customer complaints concerning the
software product.
The producer must annually re-submit their
quality system documentation (concerning
configuration management, replication and
maintenance) to LR, if it has changed since
the last submission. If it has not changed, a
statement to this effect should be submitted
to LR.
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PUBLICATION
DECLARATION
All software certified by LR will be included
in the List of LR Software Conformity Certified
Software Products which will be published in
English by LR and updated periodically.
Precise terms of reference contained in the LR
Corporate Quality Manual QS 02-00 relate to
the organisation and staff of LR and the
requirements for the quality of service
provided by LR.
undertakes to ensure that current issues of
the LR Software Conformity Assessment System
and other appropriate documentation are
available to all its representatives, located in
exclusive and non-exclusive offices
worldwide.
LR
undertakes to ensure the strict
confidentiality of information received in the
course of its services.
LR
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DEFINITIONS
Architectural Design
The process of designing a collection of
hardware and software components and
their interfaces to establish the framework
for the development of a computer system.
(Ref. 2)
Black Box
(1) A system or component whose inputs,
outputs, and general function are known but
whose contents or implementation are
unknown or irrelevant.
(2) Pertaining to an approach that treats a
system or component as in (1). (Ref. 2)
Certification
Procedure by which a third party gives
written assurance that a product, process or
service conforms to specified requirements.
(Ref. 5)
Change Control
An element of configuration management,
consisting of the evaluation, coordination,
approval or disapproval, and
implementation of changes to configuration
items after formal establishment of their
configuration identification. (Ref. 2)
Configuration Management
A discipline applying technical and
administrative direction and surveillance to:
identify and document the functional and
physical characteristics of a configuration
item, control changes to those characteristics,
record and report change processing and
implementation status, and verify
compliance with specified requirements.
(Ref. 2)
Conformity
The fulfilment by a product, process or
service of specified requirements. (Ref. 5)
Criterion
A standard by which something can be
judged or decided.
Delivery
Release of a system or component to its
customer or intended user. (Ref. 2)
Design Specification
A document that describes the design of a
system or component. Typical contents
include system or component architecture,
control logic, data structures, input/output
formats, interface descriptions, and
algorithms. (Ref. 2)
Detailed Design
The process of refining and expanding the
preliminary design of a system or
component to the extent that the design is
sufficiently complete to be implemented.
(Ref. 2)
Glass Box
(1) A system or component whose internal
components or implementation are known.
(2) Pertaining to an approach that treats a
system or component as in (1). (Ref. 2)
Hardware
Physical equipment used to process, store, or
transmit computer programs or data. (Ref. 2)
Inspection
A static analysis technique that relies on
visual examination of development products
to detect errors, violation of development
standards and other problems. (Ref. 2)
Installation Manual
A document that provides the information
necessary to install a system or component,
set initial parameters, and prepare the
system or component for operational use.
(Ref. 2)
Integration Testing
Testing in which software components,
hardware components, or both are combined
and tested to evaluate the interaction
between them. (Ref. 2)
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Maintenance
The process of modifying a software system
or component after delivery to correct faults,
improve performance or other attributes, or
adapt to a changed environment. (Ref. 2)
Producer
The organisation which either produced the
product, who abstracted it, or who carried
out the industrial or other process which
gave it its essential attributable
characteristics. (Ref. 1)
Product
All goods produced either by abstraction,
manufacture or a natural, industrial or other
process and includes a product which is
comprised in another product, whether by
virtue of being a component part or raw
material or otherwise. (Ref. 1)
Requirement
(1) A condition or capability needed by a
user to solve a problem or achieve an
objective.
(2) A condition or capability that must be
met or possessed by a system or system
component to satisfy a contract, standard,
specification or other formally imposed
documents. (Ref. 2)
Requirements Specification
A document that specifies the requirements
for a system or component. Typically
included are functional requirements,
performance requirements, interface
requirements, design requirements and
development standards. (Ref. 2)
Review
A process or meeting during which a work
product, or set of work products, is
presented to project personnel, managers,
users, customers or other interested parties
for comment or approval. (Ref. 2)
Software
Computer programs, procedures, and
[possibly] associated documentation and
data pertaining to the operation of a
computer system. (Ref. 2)
14
Software Development Process
The process by which user needs are
translated into a software product. The
process involves translating user needs into
software requirements, transforming the
software requirements into design,
implementing the design in code, testing the
code, and sometimes, installing and
checking the software for operational use.
Note: These activities may overlap or be
performed iteratively. (Ref. 2)
Source Code
Computer instructions and data definitions
expressed in a form suitable for input to an
assembler, compiler or other translator.
(Ref. 2)
Standards
Mandatory requirements employed and
enforced to prescribe a disciplined uniform
approach to software development, that is,
mandatory conventions and practices are in
fact standards. (Ref. 2)
System Software
Software designed to facilitate the operation
and maintenance of the computer system
and its associated programs, for example,
operating systems, assemblers, utilities.
(Ref. 2)
System Testing
Testing conducted on a complete, integrated
system to evaluate the system’s compliance
with its specified requirements. (Ref. 2)
Test Plan
A document describing the scope, approach,
resources, and schedule of intended test
activities. It identifies test items, the features
to be tested, the testing tasks, who will do
each task, and any risks requiring
contingency planning. (Ref. 6)
Test Report
A document that describes the conduct and
results of the testing carried out for a system
or component. (Ref. 2)
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Test Specification
A document that specifies the test inputs,
execution conditions and predicted results
for an item to be tested. (Ref. 2)
Unit Testing
Testing of individual hardware or software
units or groups of related units. (Ref. 2)
User
Person who uses software to perform some
task. (Ref. 3)
User Documentation
Documentation describing the way in which
a system or component is to be used to
obtain desired results. (Ref. 2)
User Manual
A document that presents the information
necessary to employ a system or component
to obtain desired results. Typically described
are system or component capabilities,
limitations, options, permitted inputs,
expected outputs, possible error messages
and special instructions. (Ref. 2)
Validation
The process of evaluating software to ensure
compliance with specified requirements.
(Ref. 4)
Verification
The process of evaluating the products of a
given phase to ensure correctness and
consistency with respect to the products and
standards provided as input to that phase.
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ANNEX 1: SUBMISSION INFORMATION
User manual(s)
Configuration status histories
Installation manual(s)
Replication and delivery procedures
Proposed area of application of the product
Maintenance and upgrading procedures
Operational limitations of the product
Change control records
Requirements specification
NB: Suitable means to execute the software
are to be provided such as an executable
image or a compiler.
Any applicable standard(s) or codes of
practice governing the software
development. (These are to include or
reference the design method, coding
standards, language definitions and
compilers used.)
Design specification. (This is to include the
functional and performance aspects of both
the architectural and the detailed design.)
Source code (in both listing and
electronically readable form)
Specification of the operating environment(s)
for which certification is sought (this must
include both the hardware and the system
software specifications)
Unit and integration test plans
Unit and integration test specifications
Test reports
Records of reviews, inspections, proofs and
other verification and validation activities.
System test plan
System test specification
System test report
A declaration that the system tests have
successfully passed.
Certificates and reports for relevant tests
previously obtained for the software.
Configuration management procedures
16
Fax number
17
FORM 2592 (12/94) 1/4
Phone number
Nominated contact
Post Code
Address
Name
3. PLACE OF PRODUCTION
Phone number
Nominated contact
Post Code
Address
Name
E
C
Enter details of the works where the
software product is replicated. The
nominated contact is required by the
local LR representative when making
arrangements to visit the works.
Enter details ONLY if different to
those entered in box 1.
Lloyd’s Register of Shipping, registered office: 71 Fenchurch Street, London EC3M 4BS
Fax number
Fax number
2. PRODUCER’S NAME & NORMAL BUSINESS ADDRESS
Phone number
P
Assessment.
a contact familiar with your request
for LR Software Conformity
I
M
N
FORM 2592 (12/94) 2/4
Keep this description brief and as you
wish it to appear on the certificate.
eg. licensee, include a statement from
the producer confirming the agreement.
Where this is a bilateral agreement,
Complete this section ONLY if details
in boxes 1 & 2 are different.
If “Yes”, include full details and latest
production documentation.
Lloyd’s Register of Shipping, registered office: 71 Fenchurch Street, London EC3M 4BS
Please state the modules that the product is to be certified as complying with.
8. ASSESSMENT MODULES
E
State the version number and any other configuration information.
7. CONFIGURATION INFORMATION
6. DESCRIPTION OF PRODUCT
What is your relationship with the producer?
5. PRODUCT ACCOUNTABILITY
Is the assessment to take place at the end of development ■ or during development? ■
Is the assessment to be conducted at LR premises? ■ Yes ■ No
Have any changes been made to the product & documentation since previous LR Certificate? ■ Yes ■ No
10:53 am
Nominated contact
S
Enter office name and address for
routine correspondence and nominate
NOTES
■ Extension of LR Certificate
If for extension, please state: previous LR Certificate number.
■ New LR Certificate
4. TYPE OF REQUEST
15/10/99
Post Code
Address
Name
1. APPLICANT’S NAME & NORMAL BUSINESS ADDRESS
After completion of form, return
to the LR office below
REQUEST FOR LR SOFTWARE CONFORMITY ASSESSMENT
We request Lloyd’s Register of Shipping (hereinafter referred to as
‘LR’) to carry out the survey of the undermentioned product for
Software Conformity Certification.
NB: This form is to be read in conjunction with ‘LR Software
Conformity Assessment System - Procedure SC94’.
Software Conformity Booklet
Page 17
APPENDIX 1
FORM 2592 (12/94) 3/4
Configuration management procedures
19.
Certificates
18.
System test pass declaration
17.
Verification/validation records
13.
Test reports
12.
Unit/integration test specifications
11.
Unit/integration test plans
10.
Operating environment specification
9.
Source code
8.
Design specification
7.
Standards
6.
Requirements specification
5.
Operational limitations
4.
Area of application
3.
Installation manual
2.
User manual
1.
INFORMATION REQUIRED
E
Configuration status histories
20.
Lloyd’s Register of Shipping, registered office: 71 Fenchurch Street, London EC3M 4BS
System test plan
14.
P
System test report
System test specification
15.
S
Replication/delivery procedures
21.
9. DOCUMENTATION CHECKLIST
Change control records
Maintenance/upgrading procedures
22.
C
I
FORM 2592 (12/94) 4/4
Position in Company
Name in BLOCK CAPITALS
Signature
N
Our Reference
Lloyd’s Register of Shipping, registered office: 71 Fenchurch Street, London EC3M 4BS
E
Date
LR shall in no circumstances be liable for indirect or consequential loss or damage (including but without limitation loss of profit, loss of contracts
or loss of user) suffered or incurred by any person resulting from any failure by LR in the performance of its obligations in an agreement.
M
LR, its officers, employees and agents (on behalf of each of whom this notice is given) shall be under no liability or responsibility in negligence or
otherwise howsoever to any person who is not a party to the agreement with LR in respect of any information or advice expressly or impliedly
given by LR or in respect of any act, omission or inaccuracy by LR.
In providing services, information or advice, neither LR nor any of its officers, employees or agents warrants the accuracy of any information or
advice supplied. Except as set out herein, neither LR nor any of its officers, employees or agents (on behalf of each of whom LR has agreed this
clause) shall be liable for any loss, damage or expense whatever sustained by any person due to any act, omission or error of whatsoever nature
and howsoever caused of LR, its officers, employees or agents or due to any inaccuracy of whatsoever nature and howsoever caused in any
information or advice given in any way whatsoever by or on behalf of LR, even if held to amount to a breach of warranty. Nevertheless, if any
person who is party to the agreement pursuant to which LR provides any service, uses LR’s services or relies on any information or advice given
by or on behalf of LR and suffers loss, damage or expense thereby which is proved to have been due to any negligent act, omission or error of LR,
its officers, employees or agents or any negligent inaccuracy in information or advice given by or on behalf of LR, then LR will pay compensation
to such person for his proved loss up to but not exceeding the amount of the fee (if any) charged by LR for that particular service, information or
advice.
LR reserves the right to cancel an LR Software Conformity Assessment Certificate as detailed in LR Software Conformity Assessment System Procedure SC94.
LR Software Conformity Assessment does not eliminate the need for normal inspection and survey procedures required by the Rules and
Regulations of Lloyd’s Register of Shipping.
LR Software Conformity Assessment is based on the understanding of compliance with the manufacturer’s recommendations and instructions
and any relevant requirements of the Rules and Regulations of Lloyd’s Register of Shipping.
LR Software Conformity Assessment certifies that the product(s) referred to herein has been found to meet the applicable assessment criteria for
the use specified herein. It does not mean or imply that the product(s) has/have been assessed for any other use, or developed in a manner other
than stated in the said information supplied to LR.
This request is made upon the following terms:
It is understood that in the event of LR Software Conformity Assessment not being completed, LR reserves the right to charge pro-rata for its
services. If work extends over a prolonged period, LR reserves the right to claim payment at quarterly intervals, or at agreed stages.
We agree to give LR’s surveyors every facility and necessary access to carry out their duties and agree to pay the fees and expenses incurred for
these services provided by LR resulting from this request.
We declare that the information given in this form is accurate and complete and that LR Software Conformity Assessment is requested for the
products detailed herein.
10. DECLARATION
10:53 am
16.
DOCUMENTATION SUPPLIED
18
15/10/99
23.
Software Conformity Booklet
Page 18
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 that
information may be found. Definitions of terms 1 – 23 may be found in Procedure SC94. If necessary, copies of the blank form may be made.
Software Conformity Booklet
15/10/99
10:53 am
Page 19
REFERENCES
Ref. 1 LR Type Approval System : Procedure.
Lloyd’s Register of Shipping, 1990.
Ref. 2 IEEE Std 610.12-1990, IEEE Standard
Glossary of Software Engineering
Terminology.
Ref. 3 IEEE Std 1063-1987, IEEE Standard for
Software User Documentation.
Ref. 4 ISO 9000-3:1991(E), Guidelines for the
application of ISO 9001 to the
development, supply and
maintenance of software.
Ref. 5 ISO/IEC Guide 2:1991, General terms
and their definitions concerning
standardization and related activities.
Ref. 6 ANSI/IEEE Std 829-1983, IEEE Standard
for Software Test Documentation.
Ref. 7 COM (89) 209 (July 1989): A Global
Approach to Certification and
Testing. Published in the Journal of
the EC.
19
Software Conformity Booklet
15/10/99
10:53 am
Page 20
© LLOYD’S REGISTER OF SHIPPING 1995
TERMS AND CONDITIONS
ALL RIGHTS RESERVED
Lloyd’s Register of Shipping (hereinafter referred to as
Except as permitted under current legislation no part of
‘LR’), its officers, employees and agents (on behalf of
this work may be photocopied, stored in a retrieval
whom this notice is issued) shall be under no liability or
system, published, performed in public, adapted,
responsibility in negligence or otherwise howsoever to
broadcast, transmitted, recorded or reproduced in any
any person in respect of any information or advice
form or by any means, without prior permission of the
expressly or impliedly given in this brochure, or in
copyright owner. Enquiries should be directed to the
respect of any inaccuracy herein or omission herefrom, or
above address.
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.
AIE SOFTWARE back cover 11/99
13/10/99
3:24 pm
Page 1
Type Approval Department
Marine Advisory Services
Lloyd’s Register of Shipping
71 Fenchurch Street
London EC3M 4BS
Tel: +44 (0) 20 7709 9166
Fax: +44 (0) 20 7488 4796
Email: tad@lr.org
© Lloyd’s Register of Shipping 1995
Designed by Claire Mackessy