Windows Hardware Compatibility Program Policies and Processes

Windows Hardware CertificationProgram

Policies and Processes for Windows Server

November2016

Abstract

This paper provides information about the Windows Hardware Compatibility Program. It contains high-level guidelines on qualification testing and product submission policies, and useful business process requirements. This document created specifically for Windows Server 2016and Windows Server Active Branch releases

This document is provided "as-is." Information and views expressed in this document, including URL and other Internet Web site references, may change without notice.

Some examples depicted herein are provided for illustration only and are fictitious. No real association or connection is intended or should be inferred.

This document does not provide you with any legal rights to any intellectual property in any Microsoft product. You may copy and use this document for your internal, reference purposes.

Please refer to Microsoft Trademarks for a list of trademarked products.

Bluetooth® is a trademark owned by Bluetooth SIG, Inc., USA and licensed to Microsoft Corporation.

Intel is a registered trademark of Intel Corporation.

All other trademarks are property of their respective owners.

Contents

General Policies

Legal agreements

Essential agreements

Trusted Extended Verification (EV) Cert Requirement

Product naming for WHCP Submission

Naming restrictions

Marketing name

Product name details

Product types

Submission Types

Reseller submissions

Driver update acceptable (DUA)

Windows Server Catalog Product listing expiration

Additional Features and Additional Qualifications

Symbol files

Post-initial qualification requirements

Qualification and support obligation lifetime

General WHCP testing policies

General testing

Windows and HLK updates requirement

Merging test results into a single submission or project

Product family testing

Definition of family

Components and peripherals

Determining when to consider a group of devices as a separate family

Server System Express Family Certification

Server Storage Express Family Certification

Testing policies

Components and peripherals

Testing devices with multiple connectivity

Signature-only components

10Gb/sec and Faster NICs

Rationale for Private Cloud Simulation

Overview of the Private Cloud Simulation tool

Nano Server Device and Driver

Summary

Further information

Non-Discoverable Device retesting and submission

Baseboard Management Controllers (BMCs) or Similar Devices

Para-virtualization drivers

Server Systems

Windows Hardware Compatibility Program qualified components

Acceptable device changes for Windows Server without resubmitting

Digital signature policy for systems

Systems and the use of Signature-only components

Server system with signed driver via Driver Signing Services (a.k.a. Attested Drivers)

Up-level and down-level WHCP policies for Windows Server versions

Product Type Groups

Run Server tests on physical hardware

UEFI configuration for system WHCP

UEFI system required for device testing

UEFI and Server systems testing

Windows Server Active Branch Testing

[Future] Azure Stack Solution Certification and Re-Certification Guidance

Overall Guidance:

Minimum and Maximum Solution Testing:

Solution Changes:

Refreshing HDD/SDD’s:

Switches:

In Box Drivers:

Definition of Terms for Azure Stack Solutions

Resolve test failures

Errata

Submission readme

Windows HLK support

Windows Hardware Compatibility Program Policies and Processes

Introduction

Welcome to the Windows Hardware Compatibility Program (WHCP).

This document contains the business policies to prepare products for

Windows Server 2016 RTM with regards to the Long Term Servicing Branch (LTSB) and subsequent Active Branch\Current Business Branch releases

General Policies

Legal agreements

Participation in the WHCP requires a company to have signed an effective Logo License Agreement (LLA) and Windows Compatibility Program Testing Agreement (WCPTA).AllCompatibility submission activity requires that these agreements are on file.Typically, participants are required to renew these agreements once a year.

All legal agreements that are related to the Windows Hardware CompatibilityProgram are executedthrough the Hardware and Desktop dashboard on the Windows Developer Center. Legal agreements are located under the Administration menu.

Essential agreements

Windows Certification Program Testing Agreement v1.0- This agreement includes language that is related to testing procedures, testing policies, intellectual property rights, support requirements, audit policies, payment policies, indemnification, warranty, liabilities, confidentiality, term and termination, metadata, and digital rights management (DRM) clauses. Signing this agreement is required for participation in the program.

Windows Logo License Agreement for Hardware 2017-This agreement includes specifications for logo artwork usage, license grants and restrictions, indemnification clauses, disclaimer of warranty, and limitation of liability statements.This agreement is required to submit any product for Windows Compatibility or driver signing.

New versions ofthe Windows Compatibility Program Testing Agreement and Windows Logo License Agreement will be posted for signature before Windows10 1607 and Windows Server 2016submissions begin.

Trusted Extended Verification (EV) Cert Requirement

Participants are required to purchase an Extended Verification certificate and must authenticate their developer center account with this certificate in order to make submissions for WHCP. More information regarding where to buy this certificate and how to apply if to your account can be found on the Dev Center.

Product naming for WHCP Submission

Product naming is extremely important for tracking qualified products. Naming is key for consumer education, use of the WHCP logos on products, advertising, and tracking of legal affairs.

Naming restrictions

The primary product name of a device or system that is given at the time of submission must uniquely identify one specific device or system. If your company produces several distinctly different products under a single marketing name, use the most distinct product name for the purposes of identifying a submitted product. After a submission has passed testing, a marketing name can be added to the submission by completing the “Marketing Info” of the “Submission Info” on the Sysdev portal. Any marketing name that is added to a submission is published on all Microsoft published catalogs used to identify compatible products. Microsoft reserves the right to audit all submitted marketing names. Marketing names are used in responses to agencies regarding the appropriate use of Compatibility. Marketing names are also used to perform bid verification. Compatibility is frequently one of the basic criteria used with bids associated with enterprise purchase agreements. For these reasons, among others, we require that the product names listed in our product catalogs and Windows Compatibility Products list be detailed and accurate.

Marketing name

Marketing name (extensions) is used when a company creates additional product name or model number under the same WHCP qualified product for varies reasons, such as configuration changes, cosmetic changes, to satisfy a refined segment in the market and etc. The naming restriction must follow the same policy under Product naming for WHCP Submission

Product name details

Participants may not submit products on behalf of a third party without explicit permission from both Microsoft and the third party for which the product is being submitted for.

For example: an independent testing lab contracted to test products for an original equipment manufacturer (OEM) may not submit products on behalf of the OEM. The product submission package must be submitted using an account under the OEM's administration, and the OEM must accept any and all agreements that apply to that product.

A single product name is assigned at time of submission.

Once a submission is approved, additional marketing names may be added through the Product Listing Wizard. All names must meet the allowable change requirements posted for the submission product type.

The product name of a device or system must uniquely identify one specific device or system and must not be a generic name.

For example:"Laser Printer"can't be used as the product name for a specific laser printer submission for it is too generic. The following are examples of acceptable names that clearly identify a product line: "Laser printer model 5003","Laserprint 2893",or"QuickLine 2".

If a product exists in a series of devices within the same class of device, the product name must include a model name or number that uniquely identifies that individual device or system. This requirement prevents confusion with other products found in our product catalogs and or Windows Compatibility Products list.

For example: A name like “Laserprint series" can't be used as the product name of a laser printer series because it is too generic in nature. "Laserprint series model 5003" and "Laserprint 2893" are examples of an acceptable series name.

The product name can include only the marketed product name, model number, and/or version number.

For example: a keyboard that is submitted using the product name "Quick-key" is acceptable. However, a submission that includes multiple product names such as "Quick-key/Quick-key mobile, Quick-key 5000" isn't allowed. The additional product names must be entered through the Product Listing Wizard after the original submission for the product name has been approved by Microsoft.

The product name can't include any marketing slogans or tag lines.

For example: “LaserPrint 5, the greatest invention since sliced bread”.

The product name must not infringe upon Microsoft trademarks, unless explicitly approved for use by Microsoft.
Similarly, Product Names must not include trademarks or copyrights of 3rd party companies, organizations, groups, etc.
Products may not have either non-alphabetical leading character(s) of the Product Name, or all numbers for the Product Name.
To avoid confusion with certified products, “Other” products can't use the same Product Name as certified products.
Other ‘naming practices’ that are prohibited:
Do not use all numbers for a Product Name, as that makes it almost impossible for Search to find
Multiple “Product Names” in one Product Name
Text like “cost charged by XYZ team”, etc. that is related to the test or submission processes
Information that are unnecessary in the Product Name…
Number of ports
Number of PCIe lanes
PCIe version
Speeds and Feeds – Gb or GB/sec, GTransfer/sec, GHz, etc.
Core counts
Socket counts
Memory sizes, memory types DDR3, DDR4, etc. but also various types of NVRAM
Physical layer using terms like copper, fiber, optical, radio, etc.
ACRONYMS
RoHS – Restriction on Hazardous Substances, and similar for EU, etc.
“QSFP”, InfiniBand SDR, DDR, QDR, FDR, EDR, HDR, NDR, etc.
Protocols or Specifications the Product supports, such as “Ethernet”, Fiber Channel”, etc.
Vendor name as part of the Product Name

Product types

The Windows HLK implements feature-based testing. The test harness detects all of the features of the device that interoperate with Windows and schedules testing for all implemented features. The WHCP process evaluates all of the exposed features of the device, rather than only a subset of features.

This approach has a definite advantage when the device being tested does not fit neatly into a defined category or exposes multiple functions. For example, a device may connect in many different ways. Each method represents a testable feature. These connectivity features don't contribute to the definition of product types, but are expected to be tested as an exposed feature.

Tests are grouped into product types rather than categories, which provide qualified product with a label that is appropriate for cataloging.

When a device is tested, the kit identifies any product types that the device is eligible to claim in the catalog. If more than one product type matches the features that a device exposes, you may choose what product type best describes the device.

Submission Types

Reseller submissions

The Reseller Submission Policy allows companies that purchase a qualified product from a manufacturer to resell said product as their ownand also list the product in the Microsoft catalogs and Windows Compatibility Products List under their specific brand. Resellers may repackage and relabel the purchased device or system and maintain the right to display any Microsofttrademarks and or logo’s. Resellers must sign the Microsoft Logo License Agreement in order to claim qualified rights for the resold product.

A resellersubmission is considered a child of the original resold submission. A dependency exists on the parent submission and therefore, reseller submissions fall under the qualification status of the parent, reseller submissions are not required to submit new test logs. Therefore, if the parent submission fails an audit, Microsoft reserves the right to revoke the qualified status of any reseller submissions dependent upon the parent submission.

If any changes are made to the device firmware and or device driver package that alters the original functionality not tested in the parent submission, it is considered a new submission and a new submission must be made and approved for the product to be considered qualified.

The following restrictions exist for any products that are submitted as a reseller submission:

The resellercan't change the hardware and or software when relabeling or repackaging the product, except for branding or splash-screen changes to identify the product under the new company name.
The distribution rights of the original driver submission remain with the owner of the original submission.
Ifa reseller wants to control the software distribution for its product over Windows Update, the reseller must perform the following steps:

Revise the Plug and Play Identifier (PnP ID) of the product to include the sub-vendor ID.
Submit a Driver Update Acceptable (DUA) Submission on the Developer Center containing the information (.inf) file that reflects the new PnP ID.

If a reseller wants to change the firmware and or driver binary for a device, a new initial device submission must be made (with full HLK test results .hlkx log).
All reseller submissions are subject to audit by Microsoft Corporation.
A peripheral device (connected device) whose primary function is independent of a Windows system, but functionality of the device is evaluated by the Windows HLK using a client system running Windows:Changes thatdon'taffect the interaction between the device and the system running Windows or affect the applicable requirements for the peripheral device are not considered grounds for a peripheral device resubmission for qualification.

For more information:

See Manage Hardware Logo Submission in Dashboard Help.

Driver update acceptable(DUA)

Driver Update Acceptable (DUA) submissions are allowed for an alreadyapproved driver package submission.

A DUA submission may include only changes to the following file types: .txt, .htm, .rtf, .chm, .hlp, .inf, .icm, .jpg, .bmp, .cpl, .pdf, .mht, or txtsetup.oem.

New Plug and Play (PnP) identifiers may be added to the information (.INF)file as part of these updates, provided that they meet the family policies.

Device driver binary changes are not allowed (binaries such as .sys and .dll).

Changes to a device driver package and or firmware that add, remove, or modify files thatdon't interoperate with, or otherwise affect, driver functionality or reliability of a Windows system are allowed via a DUA submission.

Retesting isn't required for a DUA submission. The Hardware Dashboard performs a WinDiff file comparison with the original to ensure that no binaries have changed.

Windows Server Catalog Product listing expiration

Microsoft WindowsServer continues to adhere to the Mainstream and Extended phases of the Support Lifecycle. Consequently, products submitted for Windows Server operating system versions will continue to be displayed until the end of the Extended Phase of Support for the respective Windows Server operating system versions. See the “Qualification and support obligation lifetime” section of this document for more information.

Additional Features and Additional Qualifications

An Additional Feature (AF) is an optional, “If Implemented”feature or functionality of the product that is automatically detected by the HLK, has one or a few Requirements specific to the functionality, one or more Tests of that specific functionality, which validate correct operation. Examples would be Reliability Counters for storage media, or IPSec Offload for a network adapter.

An Additional Qualification (AQ) is also optional, but usually requires greater or more significant investment by the vendor to comply, is often not automatically detected by the HLK, and may involve multiple functions and features, which will be validated by Tests. An example for Devices and Drivers would the Nano Server Capable AQ. An example for a System would be the Hardware Assurance AQ.