Transcription

SLI Global SolutionsFCA Summary formFunctional Configuration Audit (FCA) Summary (VVSG 2005)InstructionsThe purpose of this form is to assess manufacturer Configuration Management (CM) and Quality Assurance (QA) activities against theVVSG and to audit the consistency of the TDP documentation against the voting system functionality. This assessment is mandated byVVSG Volume II, Section 7.2. Requirements are specifically addressed in VVSG Volume I, Sections 8 and 9, and VVSG Volume II,Section 7. VVSG Volume II, Section 2, complements these requirements. See SLP-VC-08 FCA Assessment: CM, QA, Doc-to-Systemfor more details.For each requirement, fill in all relevant information as it is gathered. If there is insufficient information to determine whether therequirement passes, you can enter “Open” in the Pass/Fail column and update the result when you have gathered more information.Manufacturer InformationManufacturer NameSystem Under TestHart IntercivicVerity 1.0Assessor InformationAssessor and Job TitleAssessment Start DateAssessment Completion DateFCA Summary: Hart Verity 1.0M. SantosNov. 20th 2014Jan. 26th 2015Page 1 of 27

SLI Global SolutionsFCA Summary formPassor FailVVSGReq.No.Vol: II7Vol: II7.2VVSG Requirement TextBasis of ExaminationsThe accredited test lab shall design and performprocedures that examine documented vendorpracties for quality assurance and configurationmanagement as addressed by Volume I, Section8 and 9 and Section 2.Examination procedures shall be designed andperformed to ensure:Conformance with the requirements to provideinformation on vendor practices required bythese Guidelinesa.Passb.Conformance of system documentation andother information provided by the vendor with thedocumented practices for quality assurance andconfiguration management7.4.1Configuration Management Policya.Passb.Audit method(s)Quality Assurance TestingPassPassHow requirement is satisfiedThe accredited test lab shall examine thevendor's documented configuration managementpolicy to confirm that it:Addresses the full scope of the system, includingcomponents provided by external suppliers.Addresses the full breadth of systemdocumentation.FCA Summary: Hart Verity 1.0SLP-VC-07 PCA Doc Review (PCADoc - Configuration ManagementPlan Rev04 & PCA Doc - QualityAssurance Rev04)SLP-VC-08 FCA AssessmentSLP-VC-07 PCA Doc Review (PCADoc - Configuration ManagementPlan Rev04 & PCA Doc - QualityAssurance Rev04)SLP-VC-08 FCA AssessmentSLP-VC-07 PCA Doc ReviewPCA Doc - ConfigurationManagement Plan Rev04SLP-VC-07 PCA Doc ReviewPCA Doc - ConfigurationManagement Plan Rev04Document ReviewDocument ReviewDocument ReviewInspectionDocument ReviewInspectionPage 2 of 27

SLI Global SolutionsFCA Summary formPassor FailVVSGReq.No.VVSG Requirement TextVol: II7.5Examination of Quality AssurancePracticesPassa.The examination of quality assurance practiesshall address the full scope of requirementsdescribed in Volume I, Section 8, and thedocumentation requirements described inVolume II, Section 2. The accredited test labshall confirm that all required information hasbeen submitted, and assess whether thevendor's quality assurance program provides for:Cleary measurable quality standardsPassb.An effective testing program throughout thesystem development life cyclePassc.Passd.Passe.Passf.Application of the quality assurance program toexternal providers of system components andsuppliesComprehensive monitoring of systemperformance in the field and diagnosis of systemfailuresEffective record keeping of system failures tosupport analysis of failure patterns and potentialcausesEffective processes for notifying customers ofsystem failure and corrective measures that needto be taken, and for confirming that suchFCA Summary: Hart Verity 1.0How requirement is satisfiedSLP-VC-07 PCA Doc ReviewPCA Doc - Quality Assurance Rev04SLP-VC-08 FCA AssessmentSLP-VC-07 PCA Doc ReviewPCA Doc - Quality Assurance Rev04PCA Doc System Test VerificationRev03SLP-VC-08 FCA AssessmentSLP-VC-07 PCA Doc ReviewPCA Doc - Quality Assurance Rev04SLP-VC-08 FCA AssessmentSLP-VC-07 PCA Doc ReviewPCA Doc - Quality Assurance Rev04SLP-VC-08 FCA AssessmentSLP-VC-07 PCA Doc ReviewPCA Doc - Quality Assurance Rev04SLP-VC-08 FCA AssessmentSLP-VC-07 PCA Doc ReviewPCA Doc - Quality Assurance Rev04SLP-VC-08 FCA AssessmentAudit method(s)Document ReviewDocument ReviewInspectionDocument ReviewInspectionDocument ReviewInspectionDocument ReviewInspectionDocument ReviewPage 3 of 27

SLI Global SolutionsFCA Summary formPassor FailVVSGReq.No.VVSG Requirement TextHow requirement is satisfiedAudit method(s)measures are takenVol: II7.5.1Passa.Passb.Passc.Passd.Vol: I8.2Passa.Quality Assurance PolicyThe accredited test lab shall examine thevendor's quality assurance policy to confirm thatit:Addresses the full scope of the voting systemClearly designates a senior level individualaccountable for implementation and oversight ofquality assurance activitiesClearly desginates the individuals, by positionwithin the vendor's organization, who are toconduct each quality assurance activityProvides procedures that determine compliancewith, and correct deviations from, the qualityassurance program at a minimum annuallySLP-VC-07 PCA Doc ReviewPCA Doc - Quality Assurance Rev04PCA Doc - System Overview Rev03SLP-VC-08 FCA AssessmentSLP-VC-07 PCA Doc ReviewPCA Doc - Quality Assurance Rev04SLP-VC-08 FCA AssessmentSLP-VC-07 PCA Doc ReviewPCA Doc - Quality Assurance Rev04SLP-VC-08 FCA AssessmentSLP-VC-07 PCA Doc ReviewPCA Doc - Quality Assurance Rev04SLP-VC-08 FCA AssessmentDocument ReviewInspectionSLP-VC-07 PCA Doc ReviewPCA Doc - Quality Assurance Rev04SLP-VC-08 FCA AssessmentDocument ReviewInspectionDocument ReviewInspectionDocument ReviewDocument ReviewQuality AssuranceGeneral RequirementsThe voting system vendor is responsible fordesigning and implementing a quality assuranceprogram to ensure that the design, workmanship,and performance requirements of this standardare achieved in all delivered systems andcomponents. At a minimum, this program shall:Include procedures for specifying, procuring,inspecting, accepting, and controlling parts andraw materials of the requisite quality.FCA Summary: Hart Verity 1.0Page 4 of 27

SLI Global SolutionsFCA Summary formPassor FailVVSGReq.No.VVSG Requirement TextPassb.Require the documentation of the hardware andsoftware development process.Passc.c. i.Passc. ii.Identify and enforce all requirements for:In-process inspection and testing that themanufacturer deems necessary to ensure properfabrication and assembly of hardware.Installation and operation of software (includingfirmware).Passd.Passe.Vol: I8.3Include the plans and procedures for postproduction environmental screening andacceptance testing.Include a procedure for maintaining all data andrecords required to document and verify thequality inspections and tests.How requirement is satisfiedAudit method(s)SLP-VC-07 PCA Doc ReviewPCA Doc - Quality Assurance Rev04PCA Doc -System Hardware SpecRev03 & PCA Doc - SoftwareDesign Spec Rev02SLP-VC-08 FCA AssessmentDocument ReviewInspectionSLP-VC-07 PCA Doc ReviewPCA Doc - Quality Assurance Rev04SLP-VC-08 FCA AssessmentSLP-VC-07 PCA Doc ReviewPCA Doc - Quality Assurance Rev04PCA Doc - System Operations ProcsRev04SLP-VC-08 FCA AssessmentSLP-VC-07 PCA Doc ReviewPCA Doc - Quality Assurance Rev04SLP-VC-08 FCA AssessmentSLP-VC-07 PCA Doc ReviewPCA Doc - Quality Assurance Rev04SLP-VC-08 FCA AssessmentDocument ReviewInspectionSLP-VC-08 FCA AssessmentCOTS Product Implementation PlanDocument ReviewInspectionDocument ReviewDocument ReviewInspectionDocument ReviewInspectionComponents from Third PartiesA vendor who does not manufacture all thecomponents of its voting system, but insteadprocures components as standard commercialitems for assembly and integration into a votingsystem, shall verify that the supplier vendorsfollow documented quality assurance proceduresthat are at least as stringent as those usedinternally by the voting system vendor.FCA Summary: Hart Verity 1.0Page 5 of 27

SLI Global SolutionsFCA Summary formPassor FailVVSGReq.No.Vol: I8.4VVSG Requirement TextPassPassAcquiring and documenting test data.Pass2005: Providing test reports for examination bythe test lab as part of the national certificationprocess. These reports shall be provided to thepurchaser upon request.Passa.Passb.Audit method(s)Responsibility for TestsThe manufacturer or vendor shall be responsiblefor:Performing all quality assurance tests.Vol: I8.5How requirement is satisfiedSLP-VC-07 PCA Doc ReviewPCA Doc - Quality Assurance Rev04TM Readiness SuitePCA Doc System Test VerificationRev03SLP-VC-07 PCA Doc ReviewPCA Doc - Quality Assurance Rev04TM Readiness SuitePCA Doc SystemTest Verification Rev03SLP-VC-07 PCA Doc ReviewPCA Doc - Quality Assurance Rev04TM Readiness SuitePCA Doc System Test VerificationRev03Document ReviewInspectionDocument ReviewInspectionDocument ReviewParts and Materials Special TestsIn order to ensure that voting system parts andmaterials function properly, vendors shall:Select parts and materials to be used in votingsystems and components according to theirsuitability for the intended application. Suitabilitymay be determined by similarity of thisapplication to existing standard practice, or bymeans of special tests.Design special tests, if needed, to evaluate thepart or material under conditions accuratelyFCA Summary: Hart Verity 1.0SLP-VC-07 PCA Doc ReviewPCA Doc - System Test VerificationSpec Rev03Document ReviewInspectionSLP-VC-07 PCA Doc ReviewPCA Doc - Quality Assurance Rev04Document ReviewInspectionPage 6 of 27

SLI Global SolutionsFCA Summary formPassor FailVVSGReq.No.VVSG Requirement Textsimulating the actual operating environment.Passc.Maintain the resulting test data as part of thequality assurance program documentation.Vol: II7.5.2Parts and Materials TestsPassa.Passb.Passc.Vol: I8.6Passa.The accredited test lab shall examine thevendor's parts and materials special tests andexaminations to confirm that they:Identify appropriate criteria that are used todetermine the specific system components forwhich special tests are required to confirm theirsuitability for use in a voting systemAre designed in a manner appropriate todetermine suitabilityHave been conducted and documented for allapplicable parts and materialsHow requirement is satisfiedTM Readiness SuitePCA Doc System Test VerificationRev03SLP-VC-07 PCA Doc ReviewPCA Doc - Quality Assurance Rev04TM Readiness SuitePCA Doc System Test VerificationRev03Audit method(s)Document ReviewSLP-VC-07 PCA Doc ReviewSLP-VC-08 FCA AssessmentDocument ReviewInspectionSLP-VC-07 PCA Doc ReviewSLP-VC-08 FCA AssessmentSLP-VC-07 PCA Doc ReviewSLP-VC-08 FCA AssessmentDocument ReviewInspectionDocument ReviewSLP-VC-07 PCA Doc ReviewPCA Doc - Quality Assurance Rev04Document ReviewInspectionQuality Conformance InspectionsThe vendor performs conformance inspections toensure the overall quality of the voting systemand components delivered to the test lab fortesting and to the jurisdiction for implementation.To meet the conformance inspectionrequirements the vendor or manufacturer shall:Inspect and test each voting system orcomponent to verify that it meets all inspectionFCA Summary: Hart Verity 1.0Page 7 of 27

SLI Global SolutionsFCA Summary formPassor FailPassVVSGReq.No.b.Vol: II7.5.3VVSG Requirement Textand test requirements for the system.Deliver a record of tests or a certificate ofsatisfactory completion with each system orcomponent.How requirement is satisfiedTM Readiness SuiteSLP-VC-07 PCA Doc ReviewPCA Doc - Quality Assurance Rev04TM Readiness SuitePCA Doc System Test VerificationRev03Audit method(s)Document ReviewQuality Conformance InspectionsThe accredited test lab shall examine thevendor's quality conformance plans, proceduresand, inspection results to confirm that:All components have been tested according tothe test requirements defined by the vendorPassa.Passb.All components have passed the requisite testsPassc.iFor each test, the test documentation identifies:Test locationPassc.iiTest dateFCA Summary: Hart Verity 1.0SLP-VC-07 PCA Doc ReviewPCA Doc - Quality Assurance Rev04SLP-VC-08 FCA AssessmentSLP-VC-07 PCA Doc ReviewPCA Doc - Quality Assurance Rev04SLP-VC-08 FCA AssessmentPCA Doc - System Test VerificationSpec Rev03PCA Doc System Test VerificationRev03Document ReviewInspectionSLP-VC-07 PCA Doc ReviewPCA Doc - Quality Assurance Rev04SLP-VC-08 FCA AssessmentPCA Doc - System Test VerificationSpec Rev03PCA Doc System Test VerificationRev03SLP-VC-07 PCA Doc ReviewPCA Doc - Quality Assurance Rev04Document ReviewDocument ReviewInspectionDocument ReviewPage 8 of 27

SLI Global SolutionsFCA Summary formPassor FailVVSGReq.No.VVSG Requirement TextPassc.iiiIndividual who conducted the testPassc.ivTest outcomeVol: I8.7DocumentationHow requirement is satisfiedSLP-VC-08 FCA AssessmentPCA Doc - System Test VerificationSpec Rev03PCA Doc System Test VerificationRev03SLP-VC-07 PCA Doc ReviewPCA Doc - Quality Assurance Rev04SLP-VC-08 FCA AssessmentPCA Doc - System Test VerificationSpec Rev03PCA Doc System Test VerificationRev03SLP-VC-07 PCA Doc ReviewPCA Doc - Quality Assurance Rev04SLP-VC-08 FCA AssessmentPCA Doc - System Test VerificationSpec Rev03PCA Doc System Test VerificationRev03Audit method(s)Document ReviewDocument ReviewVendors are required to produce documentationto support the development and formal testing ofvoting systems. To meet documentationrequirements, vendors shall provide completeproduct documentation with each voting systemsor components, as described Volume II, Section2 for the TDP. This documentation shall:Vendors are required to produce documentationto support the independent testing required fortheir products to be granted national certification.Volume II, Section 2, Description of the TechnicalFCA Summary: Hart Verity 1.0Page 9 of 27

SLI Global SolutionsFCA Summary formPassor FailPassPassVVSGReq.No.VVSG Requirement TextData Package, identifies the documentationrequired for the national certification testingprocess. This documentation shall:Be sufficient to serve the needs of the accreditedtest lab, voters, election officials, andmaintenance technicians.Be prepared and published in accordance withstandard industrial practice for informationtechnology and electronic and mechanicalequipment.Consist, at a minimum, of the following:System overview.PassSystem functionality description.PassSystem hardware specification.PassSoftware design and specifications.PassSystem security specification.PassSystem test and verification specification.PassSystem operations procedures.FCA Summary: Hart Verity 1.0How requirement is satisfiedAudit method(s)SLP-VC-07 PCA Doc ReviewPCA Doc - Quality Assurance Rev04SLP-VC-08 FCA AssessmentDocument ReviewSLP-VC-07 PCA Doc ReviewDocument ReviewSLP-VC-07 PCA Doc ReviewPCA Doc - System Overview Rev03SLP-VC-07 PCA Doc ReviewPCA Doc - System FunctionalityDesc Rev02SLP-VC-07 PCA Doc ReviewPCA Doc - System Hardware SpecRev03SLP-VC-07 PCA Doc ReviewPCA Doc - Software Design SpecRev02SLP-VC-07 PCA Doc ReviewPCA Doc - System Security SpecRev04SLP-VC-07 PCA Doc ReviewPCA Doc - System Test VerificationSpec Rev03SLP-VC-07 PCA Doc ReviewPCA Doc - System Operations ProcsRev04Document ReviewDocument ReviewDocument ReviewDocument ReviewDocument ReviewDocument ReviewDocument ReviewPage 10 of 27

SLI Global SolutionsFCA Summary formPassor FailVVSGReq.No.VVSG Requirement TextPassSystem maintenance procedures.PassPersonnel deployment and training requirements.PassConfiguration management plan.PassQuality assurance program.N/ASystem Change Notes.Vol: II4.7.4How requirement is satisfiedSLP-VC-07 PCA Doc ReviewPCA Doc - System MaintenanceProcs Rev04SLP-VC-07 PCA Doc ReviewPCA Doc - PersonnelDeployment Training Reqs Rev03SLP-VC-07 PCA Doc ReviewPCA Doc - ConfigurationManagement Plan Rev04SLP-VC-07 PCA Doc ReviewPCA Doc - Quality Assurance Rev04SLP-VC-07 PCA Doc ReviewPCA Doc - System Change NotesRev01Audit method(s)Document ReviewDocument ReviewDocument ReviewDocument ReviewDocument ReviewAvailability TestThe accredited test lab shall assess theadequacy of system availability based on theprovisions of Volume I, Section 4. As describedin this section, availability of voting systemequipment is determined as a function ofreliability, and the mean time to repair the systemin the event of failure.Availability cannot be tested directly before thevoting system is deployed in jurisdictions, butcan be modeled mathematically to predictavailability for a defined system configuration.This model shall be prepared by the vendor, andshall be validated by the accredited testinglaboratory.The model shall reflect the equipment used for atypical system configuration to perform theFCA Summary: Hart Verity 1.0Page 11 of 27

SLI Global SolutionsFCA Summary formPassor FailVVSGReq.No.Passa.iPassa.iiVol: II6.5Passa.Passb.Passc.VVSG Requirement Textfollowing system functions:For all paper-based systems:Recording voter selections (such as by ballotmarking)For all paper-based systems:TestingScanning the marks on paper ballots andconverting them into digital dataHow requirement is satisfiedAudit method(s)Attachment E2 - PCA Doc - SystemOverviewAssessment of Accuracy Test,Volume/Stress TestAttachment E2 - PCA Doc - SystemOverviewAssessment of Accuracy Test,Volume/Stress Test,Power/Temperature Test, ReliabilityTestDocument ReviewandInspection/AssessmentDocument Reviewand InspectionReview of Hart HPQC testmanagement system and review ofVerity Summative Usability Test Plan4005495 and Verity VotingSummative Usability Report 4005496Review of Hart HPQC testmanagement system and review ofVerity Summative Usability Test Plan4005495 and Verity VotingSummative Usability Report 4005496Review of Hart HPQC testmanagement system and review ofDocument Reviewand InspectionUsability and Accessibility TestingThe vendor shall design and perform proceduresthat test the usability and accessibility of thevoting system as defined in Volume I, Section 3.Test procedures shall confirm that:All voting machines meet the usabilityrequirements specified in Volume I, Subsection3.1Voting machines intended for use by voters withdisabilities provide the capabilitiesrequired by Volume I, Subsection 3.2Voting machines intended for use by voters withdisabilities operate consistently withFCA Summary: Hart Verity 1.0Document Reviewand InspectionDocument Reviewand InspectionPage 12 of 27

SLI Global SolutionsFCA Summary formPassor FailVVSGReq.No.VVSG Requirement Textvendor specifications and documentationVol: I9.1Vol: I9.1.1PassHow requirement is satisfiedAudit method(s)Verity Summative Usability Test Plan4005495 and Verity VotingSummative Usability Report 4005496Configuration ManagementScopeConfiguration ManagementRequirementsConfiguration management addresses a broadset of record keeping, audit, and reportingactivities that contribute to full knowledge andcontrol of a system and its components. Theseactivities include: Identifying discrete system components.Pass Creating records of a formal baseline and laterversions of components.Pass Controlling changes made to the system and itscomponents.Pass Releasing new versions of the system toaccredited test labs.Pass Releasing new versions of the system tocustomers.FCA Summary: Hart Verity 1.0SLP-VC-07 PCA Doc ReviewPCA Doc - ConfigurationManagement Plan Rev04SLP-VC-07 PCA Doc ReviewPCA Doc - ConfigurationManagement Plan Rev04SLP-VC-07 PCA Doc ReviewPCA Doc - ConfigurationManagement Plan Rev04PCA Doc - System Change NotesRev01SLP-VC-07 PCA Doc ReviewPCA Doc - ConfigurationManagement Plan Rev04SLP-VC-07 PCA Doc ReviewPCA Doc - ConfigurationManagement Plan Rev04Document Reviewand InspectionDocument Reviewand InspectionDocument Reviewand InspectionDocument Reviewand InspectionDocument ReviewPage 13 of 27

SLI Global SolutionsFCA Summary formPassor FailVVSGReq.No.PassVVSG Requirement Text Auditing the system, including itsdocumentation, against configurationmanagement records. Controlling interfaces to other systems.PassPass Identifying tools used to build and maintain thesystem.Vol I:9.1.1and9.1.3How requirement is satisfiedSLP-VC-07 PCA Doc ReviewPCA Doc - ConfigurationManagement Plan Rev04SLP-VC-07 PCA Doc ReviewPCA Doc - ConfigurationManagement Plan Rev04SLP-VC-07 PCA Doc ReviewPCA Doc - ConfigurationManagement Plan Rev04Audit method(s)Document ReviewDocument ReviewDocument ReviewEAC RFI Decision 2012-03COTS Product Implementation Plan: The planshall, at a minimum, include a list of all COTSproducts, list the expected end-of-life date ofeach product, and describe the manufacturer’splan for replacing end-of-life components with anequivalent COTS component. The VSTL shallconduct a random spot check of COTS productsassociated with the voting system under test bothat the beginning and the end of the testengagement to verify that none of the COTSproducts listed have reached their end-of-life.Random spot check, beginning of testRandom spot check, end of testFCA Summary: Hart Verity 1.0Review COTS products and End ofLife projectionsReview COTS products and End ofLife projectionsthNov. 17 2014thJan. 26 2015Page 14 of 27

SLI Global SolutionsFCA Summary formPassor FailVVSGReq.No.Vol: I9.1.2Vol: I9.1.3VVSG Requirement TextHow requirement is satisfiedAudit method(s)Organization of ConfigurationManagement StandardsApplication of ConfigurationManagement StandardsPassRequirements for configuration managementapply regardless of the specific technologiesemployed to all voting systems subject to theStandards. These system components include:Software components.PassHardware components.PassCommunications components.PassDocumentation.PassIdentification and naming and conventions(including changes to these conventions) forsoftware programs and data files.PassDevelopment and testing artifacts such as testdata and scripts.PassFile archiving and data repositories.FCA Summary: Hart Verity 1.0SLP-VC-07 PCA Doc ReviewPCA Doc - ConfigurationManagement Plan Rev04SLP-VC-07 PCA Doc ReviewPCA Doc - ConfigurationManagement Plan Rev04SLP-VC-07 PCA Doc ReviewPCA Doc - ConfigurationManagement Plan Rev04SLP-VC-07 PCA Doc ReviewPCA Doc - ConfigurationManagement Plan Rev04SLP-VC-07 PCA Doc ReviewPCA Doc - ConfigurationManagement Plan Rev04Document ReviewSLP-VC-07 PCA Doc ReviewPCA Doc - ConfigurationManagement Plan Rev04SLP-VC-07 PCA Doc ReviewPCA Doc - ConfigurationManagement Plan Rev04Document ReviewDocument ReviewDocument ReviewDocument ReviewDocument ReviewDocument ReviewPage 15 of 27

SLI Global SolutionsFCA Summary formPassor FailVVSGReq.No.Vol: I9.2VVSG Requirement TextHow requirement is satisfiedAudit method(s)Configuration Management PolicyThe vendor shall describe its policies forconfiguration management in the TDP. Thisdescription shall address the following elements:PassScope and nature configuration managementprogram activities.PassBreadth of the application of the vendor’s policiesand practices to the voting system. (i.e. extent towhich policies and practices apply to the totalsystem and extent to which polices and practicesof suppliers apply to particular components,subsystems, or other defined system elements.Vol: II7.4Vol: II7.4.1SLP-VC-07 PCA Doc ReviewPCA Doc - ConfigurationManagement Plan Rev04SLP-VC-07 PCA Doc ReviewPCA Doc - ConfigurationManagement Plan Rev04Document ReviewDocument ReviewExamination of ConfigurationManagement PracticesConfiguration Management PolicyThe accredited test lab shall examine thevendor's documented configuration managementpolicy to confirm that It:Passa.Addresses the full scope of the system, includingcomponents provided by external suppliersSLP-VC-07 PCA Doc ReviewPCA Doc - ConfigurationManagement Plan Rev04Document Reviewand InspectionPassb.Addresses the full breadth of systemdocumentationSLP-VC-07 PCA Doc ReviewPCA Doc - ConfigurationManagement Plan Rev04Document Reviewand InspectionFCA Summary: Hart Verity 1.0Page 16 of 27

SLI Global SolutionsFCA Summary formPassor FailVVSGReq.No.Vol: I9.3Vol: I9.3.1VVSG Requirement TextStructuring and Naming ConfigurationItemsPassUniquely number or otherwise identifyconfiguration items.PassName configuration items.Vol: II7.4.2a.Passb.Audit method(s)Configuration IdentificationThe vendor shall describe the procedures andconventions used to:Classify configuration items into categories andsubcategories.PassHow requirement is satisfiedSLP-VC-07 PCA Doc ReviewPCA Doc - ConfigurationManagement Plan Rev04SLP-VC-07 PCA Doc ReviewPCA Doc - ConfigurationManagement Plan Rev04SLP-VC-07 PCA Doc ReviewPCA Doc - ConfigurationManagement Plan Rev04Document Reviewand InspectionDocument Reviewand InspectionDocument Reviewand InspectionConfiguration IdentificationThe accredited test lab shall examine thevendor's documented configuration identificationpractices policy to confirm that it:Describes clearly the basis for classifyingconfiguration items into categories andsubcategories, for numbering of configurationitems; and for naming of configuration itemsDescribes clearly the conventions used toidentify the version of the system as a whole andthe versions of any lower level elements (e.g.,subsystems, individual elements) if such lowerlevel version designations are usedFCA Summary: Hart Verity 1.0SLP-VC-07 PCA Doc ReviewPCA Doc - ConfigurationManagement Plan Rev04Document Reviewand InspectionSLP-VC-07 PCA Doc ReviewPCA Doc - ConfigurationManagement Plan Rev04Document ReviewPage 17 of 27

SLI Global SolutionsFCA Summary formPassor FailVVSGReq.No.Vol: I9.3.2VVSG Requirement TextPassa.Passb.Passc.Name versions.Vol: I9.4Baseline, Promotion and DemotionProceduresa.Passb.Passc.Audit method(s)Version ConventionsWhen a system component is used to identifyhigher-level system elements, a vendor shalldescribe the conventions used to:Identify the specific versions of individualconfiguration items and sets of items that areused by the vendor to identify higher levelsystem elements such as subsystems.Uniquely number or otherwise identify versions.PassHow requirement is satisfiedThe vendor shall establish formal proceduresand conventions for establishing and providing acomplete description of the procedures andrelated conventions used to:Establish a particular instance of a componentas the starting baseline.Promote subsequent instances of a componentto baseline status as development progressesthrough to completion of the initial completedversion released to the accredited test labs forcertification testing.Promote subsequent instances of a componentto baseline status as the component isFCA Summary: Hart Verity 1.0SLP-VC-07 PCA Doc ReviewPCA Doc - ConfigurationManagement Plan Rev04Document ReviewSLP-VC-07 PCA Doc ReviewPCA Doc - ConfigurationManagement Plan Rev04SLP-VC-07 PCA Doc ReviewPCA Doc - ConfigurationManagement Plan Rev04Document ReviewDocument Reviewand InspectionSLP-VC-07 PCA Doc ReviewPCA Doc - ConfigurationManagement Plan Rev04Document ReviewSLP-VC-07 PCA Doc ReviewPCA Doc - ConfigurationManagement Plan Rev04SLP-VC-07 PCA Doc ReviewPCA Doc - ConfigurationManagement Plan Rev04Document ReviewSLP-VC-07 PCA Doc ReviewPCA Doc - ConfigurationDocument ReviewDocument ReviewPage 18 of 27

SLI Global SolutionsFCA Summary formPassor FailVVSGReq.No.VVSG Requirement Textmaintained throughout its life cycle until systemretirement (i.e., the system is no longer sold ormaintained by the vendor).Vol: II7.4.3Passa.Passb.Vol: I9.5How requirement is satisfiedAudit method(s)Management Plan Rev04Baseline, Promotion, and DemotionProceduresThe accredited test lab shall examine thevendor's documented baseline, promotion, anddemotion procedures to confirm that they:Provide a clear, controlled process that promotescomponents to baseline status when specificcriteria defined by the vendor are metProvied a clear, controlled process for demotinga component from baseline status when specificcriteria defined by the vendor are metSLP-VC-07 PCA Doc ReviewPCA Doc - ConfigurationManagement Plan Rev04SLP-VC-07 PCA Doc ReviewPCA Doc - ConfigurationManagement Plan Rev04Document ReviewSLP-VC-07 PCA Doc ReviewPCA Doc - ConfigurationManagement Plan Rev04SLP-VC-07 PCA Doc ReviewPCA Doc - ConfigurationManagement Plan Rev04SLP-VC-07 PCA Doc ReviewDocument ReviewDocument ReviewConfiguration Control ProceduresPassa.Configuration control is the process of approvingand implementing changes to a configurationitem to prevent unauthorized additions, changes,or deletions. The vendor shall establish suchprocedures and related conventions, providing acomplete description of those procedures usedto:Develop and maintain internally developed items.Passb.Acquire and maintain third-party items.Passc.Resolve internally identified defects for itemsFCA Summary: Hart Verity 1.0Document ReviewDocument ReviewPage 19 of 27

SLI Global SolutionsFCA Summary formPassor FailVVSGReq.No.VVSG Requirement Textregardless of their origin.Passd.Resolve externally identified and reporteddefects (i.e., by customers and test labs).Vol: II7.4.4Configuration Control ProceduresThe accredited test lab shall examine thevendor's configuration control procedures toconfirm that they:Are capable of providing effective control ofinternally developed system componentsPassa.Passb.Are capable of providing effective control ofcomponents developed or supplied by thirdpartiesVol: I9.6Release Process ProceduresPassa.The release process is the means by which thevendor installs, transfers, or migrates the systemto the accredited test labs and, eventually, to itscustomers. The vendor shall establish suchprocedures and related conventions, providing acomplete description of those used to:Perform a first release of the system to anaccredited test lab.FCA Summary: Hart Verity 1.0How requirement is satisfiedPCA Doc - ConfigurationManagement Plan Rev04SLP-VC-07 PCA Doc ReviewPCA Doc - ConfigurationManagement Plan Rev04Audit method(s)Document ReviewSLP-VC-07 PCA Doc ReviewPCA Doc - Con

Functional Configuration Audit (FCA) Summary (VVSG 2005) Instructions The purpose of this form is to assess manufacturer Configuration Management (CM) and Quality Assurance (QA) activities against the VVSG and to audit the consistency of the TDP documentation against the voting system functionality. This assessment is mandated byFile Size: 1MBPage Count: 27