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SCHEDULE H
ACCEPTANCE PROCEDURES
Schedule H (Acceptance Procedures)
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CONTENTS
1
INTRODUCTION....................................................................................................................1
2
PRINCIPLES ...........................................................................................................................2
3
GENERIC ACCEPTANCE APPROACH.............................................................................6
4
ACCEPTANCE ROLES AND RESPONSIBILITIES .......................................................23
5
ACCEPTANCE PROCEDURES AND TIME PERIODS .................................................24
6
NATIONAL LIVESCAN SERVICES .................................................................................34
7
LANTERN Pilot Phase 2 – Implementation Phase.............................................................36
8
Acceptance Procedure for IDENT1 Services for UKvisas .................................................37
ANNEX H-1 ACCEPTANCE AND TRANSITION MILESTONES ...........................................38
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1
INTRODUCTION
1.1
The purpose of this Schedule is to describe the extent and scope of work to be undertaken by
the Contractor in relation to Acceptance Testing of the Transition Milestones identified in
Schedule G (Transition), and to set out the Parties' agreement in adopting a generic approach
for Acceptance Testing of the Services at TOR, from TOR to BOS, at BOS, from BOS to
EOS1, at EOS1 and from EOS1 to the end of the Term.
1.2
This Schedule defines the procedures which allow for effective Acceptance of the Service,
such that the Authority can be satisfied that Transition as set out in Schedule G (Transition)
is complete, that the Services are capable of meeting the Service Levels as set out in Schedule
F (Service Level Requirements), that the Services provide the functionality and other
attributes as set out in Schedule D (Detailed Operational Requirements) and that all other
work is performed in accordance with Schedule Q (Contractor’s Solution).
1.3
The aim of Acceptance Testing is for the Contractor to demonstrate to the Authority that the
Services:
1.3.1 are available;
1.3.2 are capable of operating; and
1.3.3 actually operate and are likely to continue to operate, in accordance with the
Requirements of the Contract.
1.4
Although one of the main aims of this Schedule is to enable the Contractor to progress to and
achieve EOS1 for the Services, through the Acceptance of the Transition Milestones in
accordance with Annex H-1 of this Schedule, the principles set out hereunder shall apply to
Acceptance Testing of all New Services developed and delivered after EOS1 and any changes
introduced through Schedule L (Change Control Procedures) where the Parties agree that
this Schedule is to apply to the relevant change being introduced through Schedule L
(Change Control Procedures).
1.5
An incremental approach to Acceptance Testing has been adopted as described in Clauses 2
and 3 below which contains six standard Incremental Acceptance Reviews (“IAR”) one or
more of which shall be required for Acceptance Testing of particular Transition Milestones.
Each IAR carried out will generally take the form of one or more Standard Acceptance
Reviews (“SAR”) and will be preceded by defined events for Acceptance Testing (“Events”),
the outcomes of which will be presented at the IAR. The process is further described in
Clause 3 below. Such Events may include specified testing activities to satisfy the Authority
that the functionality, specification and operational stability of the Services meet the
Requirements of the Contract. The Authority does not wish to be prescriptive in determining
what the testing activities might be, however, they could include such activities as Factory
Acceptance Tests (FATs) or Acceptance Testing where appropriate. A Progressive
Acceptance Review (“PAR”) may be used in certain circumstances for specific purposes
when the generic Acceptance Testing approach is inappropriate.
1.6
The Services accepted at the passing of the BOS and EOS1 Transition Milestone shall
constitute the baseline services for BOS and EOS1, respectively, (“IDENT1 Baseline
Service”) upon which future services shall build. From EOS1, each time a new service which
constitutes an amendment to Schedule D (Detailed Operational Requirements) becomes
operational, it shall be added to the then-existing IDENT1 Baseline Service and upgrades
thereof to create a new IDENT1 Baseline Service. Each revision of the IDENT1 Baseline
Service shall be ascribed a new version number in order to provide a full audit trail of changes
(i.e. by allocating the next EOSn number, e.g. EOS2, EOS2, etc).
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1.7
Upon the successful completion of each IAR prior to BOS and EOS1 (as applicable) in
accordance with Clause 5.5 of this Schedule, the Contractor shall issue an appropriate
Certificate of Acceptance or confirmation letter to the Authority for signature by both Parties.
The date of signature by both Parties of the Certificate of IDENT1 Services Acceptance at
BOS and EOS1 as described in Clause 5.6 shall be the formal start date in relation to the
Services to be provided by the Contractor under this Contract at BOS or EOS1, as applicable.
1.8
Acceptance testing of future Services shall be undertaken in accordance with the same
principles as are set out in this Schedule for the Acceptance of the Transition Milestones.
Prior to placing a CCN (in accordance with Schedule L (Change Control Procedure) for an
additional new Service, the Authority and Contractor shall discuss and agree the process for
Acceptance Testing of the New Services, including which IARs shall apply to agreed
Milestones for the relevant service. Subject to the Authority’s approval of acceptance for such
New Services, a Certificate of Acceptance for a New Service may be issued where
appropriate and relevant as agreed between the Parties.
1.9
Acceptance of any Milestone shall enable the Contractor to progress to succeeding Milestones
or claim payment, as applicable under Schedule E (Pricing). However, Acceptance (or
waiver of any Defect or Failure at Acceptance) of any Milestone, New Services or any
changes introduced in accordance with Schedule L (Change Control Procedure) pursuant to
this Schedule (including circumstances where an Acceptance Certificate has been issued)
shall not relieve the Contractor of its obligation to meet the requirements of Schedule D
(Detailed Operational Requirements) and shall be without prejudice to the rights and
remedies available to the Authority under the Contract.
1.10
In accordance with Clause 5.9.2, the Authority reserves the right (at its sole discretion) either
to waive or defer any Defect or Failure resolution at any Milestone, or to allow an agreed
period for the Defect or Failure resolution prior to re-submitting a Milestone for Acceptance
Testing. If, after the Authority has extended the Acceptance Testing Period, the Acceptance
Testing Procedures have not been recorded as successful by the end of that period, the
Authority shall have the right to terminate for the Contractor’s default in accordance with
Clause 43 of Schedule B (Conditions of Contract).
2
PRINCIPLES
2.1
Incremental Acceptance
2.1.1 The Parties shall apply the Generic Acceptance Approach as described in Clause 3 of
this Schedule to all development work leading to EOS1 and also apply it to future
New Services. This approach shall align with the RUP model and shall use an
incremental approach to achieving Acceptance.
2.1.2 The Contractor shall use the Incremental Acceptance approach to:
(a)
balance the workload associated with Acceptance activities across time;
(b)
provide assurance that capabilities meet the specified Requirements;
(c)
provides evidence towards achieving the milestones identified in Schedule G
(Transition);
(d)
bring into operational service new capabilities with consequent operational
benefits as early as practicable;
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(e)
enable Pilot or Proof of Concept of new capabilities to support user centred
design and the early assessment of operational and business benefits; and
(f)
identify and resolve Defects against specification and other potential
problems as operational and business benefits as early as possible;
2.1.3 The Parties shall conduct Incremental Acceptance Reviews (“IAR”) and preceding
Acceptance Events, as described in Clause 3 of this Schedule.
2.1.4 Notwithstanding any Acceptance by the Authority of a satisfactory delivery of any
Services or New Service, the Authority retains the right to invoke the remedies set out
in Clause 5 in the event that such Services or New Services are subsequently shown
to be failing to meet the Requirement(s) of the Contract.
2.2
Requirements
2.2.1 For the purposes of this Schedule, the term “Requirement” shall refer to and include,
but not be limited to, the DOR and Requirements derived from the DOR, most
notably those derived from the Use Cases during the development process. In
addition, this shall include the statements made by the Contractor in Schedule Q
(Contractor’s Solution).
2.2.2 Verification and Validation of Requirements
The Contractor shall provide evidence by means of IARs, to the satisfaction of the
Authority and through the procedures set out in this Schedule, that each of the
Requirements of Schedule D (Detailed Operational Requirements), of Schedule F
(Service Level Requirements), of the Requirements derived from the Requirements
of Schedule D (Detailed Operational Requirements) during the development
process are performed and delivered under this Contract. The evidence so provided
shall be produced by the Contractor through processes of Verification and of
Validation, where:
(a)
the “Verification of Requirements” shall mean the process whereby the
appropriateness of each Requirement with respect of the corresponding
business and operational need is established; and
(b)
the “Validation of Requirements” shall mean the process whereby the
delivery into operational service of the capability meeting each Requirement
is confirmed and corroborated.
2.2.3 Continuous Verification and Validation
Notwithstanding formal Acceptance by the Authority, once the Authority accepts that
the Requirements have been Verified and Validated and subsequent to the IAR with
which that Requirement is associated, the Contractor shall continue to ensure that the
Services continue to meet each Requirement and shall take remedial action at the
Contractor’s expense should any Defect or Failure against the Requirements be
determined, as set out in Clause 5 of this Schedule. Unless otherwise indicated by the
Authority, all Requirements shall apply for the duration of the Contract. For the
avoidance of doubt, acceptance by the Authority that the Requirements have been
verified and validated shall not remove the Authority’s right to re-address any issues
raised in relation to the Requirements and request Re-verification and Revalidation if,
in the Authority’s opinion it is necessary or appropriate.
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2.3
Transition Acceptance
Annex H-1 of this Schedule describes how the Generic Acceptance Approach described in
Clause 3 of this Schedule applies to the specific Transition milestones identified in Schedule
G (Transition).
2.3.1 TOR – NAFIS
Notwithstanding the items described in Annex H-1 of this Schedule, the goal of
achieving the full delivery of Transfer of Responsibility for the existing NAFIS
service is represented by the TOR–NAFIS milestone, as described in Schedule G
(Transition). The achievement of TOR–NAFIS shall be determined by the OAV
which includes, but is not limited to:
(a)
a written statement by the Contractor to the Authority no later than 30 days
prior to TOR-NAFIS fully evidencing, to the reasonable satisfaction of the
Authority, its complete readiness, preparedness and ability to take full
operational responsibility for continuity of the existing operational NAFIS
Service;
(b)
the continuity of existing services currently provided by the NAFIS systems
and associated NAFIS Livescan technology;
(c)
the delivery of capabilities compliant with each aspect of the NAFIS Service
Level Requirements; and
(d)
the completion of all activities and Deliverables relating to Transfer of
Responsibility as set out in Schedule G (Transition).
2.3.2 Scottish Livescan
Notwithstanding the items described in Annex H-1 of this Schedule, the goal of
achieving full delivery, testing and installation of new or takeover of existing
Livescan in Scotland is represented by the Scottish Livescan Milestone, as described
in Schedule G (Transition). The achievement of Scottish Livescan shall be
determined by the OAV which includes, but is not limited to:
(a)
a written statement by the Contractor to the Authority no later than 30 days
prior to the delivery date for Scottish Livescan as set out in Schedule G
(Transition) fully evidencing, to the reasonable satisfaction of the Authority,
its complete readiness, preparedness and ability to take full operational
responsibility for provision of the Scottish Livescan Service;
(b)
completion of device approval and testing of IDENT1 Scottish Livescan
units; and
(c)
confirmation of successful takeover of all existing Livescan units by each
Scottish Force, with the remainder of the new IDENT1 Livescan units to be
installed no later than 30 April 2005.
2.3.3 Baseline Operational Services (BOS)
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Notwithstanding the items described in Annex H-1 of this Schedule, the services that
the Supplier shall deliver to the Authority at BOS consist of the services required by
the Authority for the Scottish Bureaux; the full delivery, testing and installation of the
SAGEM primary fingerprint search algorithms; the Multiple Record Capture and
Store; the Oracle Central migration; the Oracle bureaux software migration; the
Service Continuity Capability; and any other new capabilities required by the
Authority for BOS (provided such required new capabilities are agreed by the Parties
in accordance with Change Control), and as such services and capabilities are
identified in Schedule G (Transition). .
The achievement of BOS shall be determined by the OAV which includes, but is not
limited to:
(a)
the readiness of IDENT1 to provide full service to Scotland;
(b)
a written statement by the Contractor to the Authority, no later than 30 days
prior to BOS, fully evidencing, to the reasonable satisfaction of the
Authority, its complete readiness, preparedness and ability to take full
operational responsibility for IDENT1 capability in Scotland;
(c)
the delivery of capabilities compliant with each aspect of the Service Levels
as set out in Schedule F (Service Level Requirements);
(d)
the completion of all activities and Deliverables relating to BOS as set out in
Schedule G (Transition); and
(e)
confirmation of successful installation of all Livescan units by each Scottish
Force.
2.3.4 Enhanced Operational Service 1 (EOS1)
Notwithstanding the items described in Annex H-1 of this Schedule, the goal of
achieving the full delivery of the IDENT1 Baseline Service is represented by the
EOS1 milestone, as described in Schedule G (Transition). The achievement of
EOS1 shall be determined by the OAV which includes, but is not limited to:
(a)
the continuity of existing services currently provided by the NAFIS, SAFR
and SLS systems and the full delivery of Schedule D (Detailed Operational
Requirements);
(b)
the completion of Service Transition as set out in Schedule G (Transition);
(c)
the Verification and Validation of the Requirements described in Clause 2.2
of this Schedule (subject to the exception of progressive improvements set
out in Clause 3.3.5 and Scotland Palms BRC, which are scheduled to be
delivered post-EOS1); and
(d)
any other activities or Deliverables required under the Contract.
2.3.5 Changes to Transition Services
(a)
Changes to this Schedule, as agreed under Schedule L (Change Control
Procedure), prior to EOS1, shall be subject to the Generic Acceptance
Approach as described in this Schedule.
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(b)
The Contractor may integrate the Acceptance of these changes into
previously agreed project plans, subject to the further approval of the
Authority.
2.4
Acceptance of Changes to the IDENT1 Baseline Service
2.4.1 Changes to the IDENT1 Baseline Service, as agreed under Schedule L (Change
Control Procedure), whether defined prior to or subsequent to EOS1, shall be
subject to the Generic Acceptance Approach as described in this Schedule.
2.4.2 Acceptance Events, Reviews and Acceptance Criteria associated with Changes
following the Acceptance of the IDENT1 Baseline Service at EOS1 shall be mutually
agreed by the Parties in advance of any new work commencing.
2.5
Transparency
The Contractor’s Acceptance Procedures shall provide and allow for sample quality checks
and audit trail analysis.
2.6
Acceptance of Options
2.6.1 All Optional Services ordered under the Contract shall be subject to Generic
Acceptance Approach as described in this Schedule.
2.6.2 Acceptance Events, Incremental Acceptance Reviews and associated Acceptance
Criteria shall be mutually agreed by the Parties prior to ordering the Optional
Services. However, Acceptance of Optional Services shall include sufficient
Regression Testing to ensure that evidence is available that the deployment of an
Optional Service does not compromise the integrity of the IDENT1 Baseline Service.
2.7
Oversight of Acceptance
2.7.1 The Authority shall have the right to full, free and unfettered oversight of the
provision of the Services.
2.7.2 The Authority may, with reasonable notice to the Contractor, inspect, examine and
audit all aspects of the provision of the Services, including but not limited to
information, plans, drawings, notes, correspondence, agreements, work in progress
and assets. The Authority may apply its own interpretation of any of this information
and use this to determine Acceptance of any component of the Services.
2.7.3 The Contractor shall invite the Authority to attend and witness all Acceptance Events.
The Authority may, on a case by case basis, waive its right to witness Acceptance
Events. Should the Authority waive its right to witness any Acceptance Event, the
Contractor’s independent QA Authority shall represent the interests of the Authority
in respect of the witness of Acceptance Testing activities and the keeping of a true
record of the Event. For the avoidance of doubt, in all matters relating to Acceptance
of the Services, the Authority’s decision shall be final.
3
GENERIC ACCEPTANCE APPROACH
3.1
Incremental Acceptance Reviews
3.1.1 Acceptance of the Services shall be on an incremental basis. Incremental Acceptance
shall be measured and controlled by Incremental Acceptance Review (“IAR”) points.
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3.1.2 IARs shall take one of the following two forms; either:
(a)
Standard Acceptance Review (“SAR”) – An IAR predominantly relating to
Transition Milestones up to Acceptance of the IDENT1 Baseline Service at
EOS1 or to the development of new capabilities (i.e. changes to the IDENT1
Baseline Service), or both; or:
(b)
Progressive Acceptance Review (“PAR”) – An IAR predominantly relating
to progressive improvements in capability, to system upgrades, to the in-
service management of Security Accreditation, and to transition events
defined as being subsequent to the achievement of the IDENT1 Baseline
Service at EOS1 and which augment the IDENT1 Baseline Service.
3.1.3 The development of the IDENT1 Services up to EOS1, and any future development
projects, shall be subject to the SARs set out hereunder.
3.1.4 Before each IAR the Contractor shall conduct one or more Acceptance Events.
Evidence of successful completion of each Acceptance Event shall be presented by
the Contractor to the Authority at the associated IAR.
3.1.5 An Acceptance Event is defined in Clause 3.4 below.
3.1.6 Evidence of Acceptance Events shall be in the form of an Acceptance Event Report,
as described in Clause 3.6.3 hereunder, provided by the Contractor that records the
outcome of the Acceptance Event. Such Acceptance Event Reports shall be subject to
verification and approval by the Authority.
3.1.7 When all the prior constituent Acceptance Events have successfully taken place, the
IAR shall be held.
3.1.8 An IAR will typically be a day’s review meeting between the Authority and the
Contractor, held within reasonable proximity of the Authority’s premises (including
Scotland) at a venue provided by the Contractor, or by audio or video conference,
unless otherwise agreed in writing by the Authority. More than one IAR may be held
consecutively on the same day or consecutive days, in order to give an economy of
scale with respect to attendance by both the Contractor’s and the Authority’s
representatives. An IAR may be also be scheduled consecutively on the same day or
days with other project events such as Project Management Review meetings in order
to enable an economy of scale with respect to attendance by both the Contractor’s and
the Authority’s representatives.
3.1.9 At the IAR the Contractor shall provide evidence from the Acceptance Events
required under the relevant Milestone in Annex H-1. The Authority will decide
whether to grant acceptance of this IAR by considering the Evidence presented by the
Contractor against the Criteria for the IAR.
3.1.10 The Acceptance Events that lead up to an IAR shall be defined in the Software
Development Plan (SDP) and/or Project Stage Plan as appropriate as described in
Schedule O (Documentation), and shown in the Integrated Master Schedule, stating
when a particular Acceptance Event will take place and the procedure for acceptance
for that Event. This shall include the relevant Acceptance Events set out in Annex H-
1. Clause 3.5 provides a generic list of Acceptance Methods that may be employed
for an Acceptance Event.
3.1.11 Each IAR is defined below, including the following description:
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(a)
Purpose – the reason for holding the IAR.
(b)
Acceptance Criteria – the criteria which must be met in order for the review
to be deemed complete.
(c)
Evidence – the input required for the IAR which provides evidence of the
Acceptance Criteria having been met.
3.2
Standard Acceptance Reviews
3.2.1 There shall be six Standard Acceptance Review (SAR) points. The Contractor shall
apply these SARs across the development lifecycle. These SAR points, in sequential
order, are:
(a)
Lifecycle Objective Milestone Review;
(b)
Lifecycle Architecture Milestone Review;
(c)
Design Review;
(d)
Product Verification Review;
(e)
Product Acceptance Review; and
(f)
Operational Acceptance Review.
3.2.2 SAR1: Lifecycle Objective Milestone Review
Purpose:
The purpose of the Lifecycle Objective Milestone Review is to certify that the project
scope and boundary conditions are fully understood.
Acceptance Criteria:
The right sets of Requirements have been captured and there is a shared
understanding of these Requirements.
Agreement by the Parties that the Requirements are testable.
The key approaches to be used in test and evaluation have been agreed between the
Parties.
The current schedule estimates, priorities, risks, and development process have been
agreed.
Evidence:
Evidence that management controls, as defined in Schedule Q, Part A (Contractor’s
Solution), have been implemented including a review of Stage Plans.
Results of reviews of Business Process Models.
Results of Requirement Verification activities as stated in the SDP, including as
appropriate: Use Case walkthroughs; identification of test method and Acceptance
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Criteria for each Requirement and; evidence of the completeness of Requirements
using traceability analysis.
Evidence of progressive work on development of test documentation.
If applicable, results of one or more proof of concepts and or prototypes to support
vision and business case and to address very specific risks.
Evidence that all relevant documentation has been completed and approved as per
Schedule O (Documentation) to the level of detail required by the Authority as
described in Schedule D (Detailed Operational Requirements).
3.2.3 SAR2: Lifecycle Architecture Milestone Review
Purpose:
The purpose of the Lifecycle Architecture Review is to certify that the architecture is
appropriate and satisfies the Requirements.
Acceptance Criteria:
Agreement between the Parties that the Requirements and the architecture are stable.
Any major risks elements have been sufficiently mitigated to be able to predictably
determine the schedule for the completion of the development.
The Authority agrees that the objectives of the project can be met if the current plans
are executed to develop the complete capabilities, in the context of the IDENT1
system architecture.
The architecture is appropriate and satisfies the Requirements.
Evidence:
Evidence that management controls, as defined in Schedule Q Part A (Contractor’s
Solution), have been implemented including a review of Stage Plans.
Written approval by the Authority of the IDENT1 system architecture.
Results of tests and evaluations (possibly of executable prototypes) which
demonstrate that the major risk elements have been addressed and have been credibly
resolved.
Evidence that the SDP has sufficient detail to allow development work to proceed.
Written approval by the Authority of the development environment established by the
Contractor.
Evidence that the Data Model has been reviewed and all major data model elements
have been defined.
Evidence that any changes to Requirements have been reviewed and accepted.
Evidence of progressive work on development of test documentation including
Acceptance Testing documentation, as described in Schedule O (Documentation).
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Evidence that the relevant documentation has been completed and approved as per
Schedule O (Documentation) to the level of detail required by the Authority as
described in Schedule D (Detailed Operational Requirements).
Exhibiting, and, where possible and appropriate demonstrating, proposed architecture
against some of the primary scenarios.
3.2.4 SAR3: Design Review
Purpose:
The purpose of the Design Review is to certify that the design is appropriate to the
right set of Requirements and consistent with the architecture.
Acceptance Criteria:
Agreement between the Parties that the design is appropriate to the agreed set of
Requirements.
Scope of development and testing is defined.
Agreement between the Parties that the resources necessary to carry out development
and testing are available.
Evidence:
Evidence that management controls, as defined in Schedule Q Part A (Contractor’s
Solution), have been implemented including a review of Stage Plans.
Written approval by the Authority of the Contractor’s detailed Business Process
Models.
Written approval by the Authority of the updated Requirements.
Evidence that the Requirements which are to be satisfied by this design have been
clearly identified.
Written approval by the Authority of any changes to the IDENT1 system architecture.
Evidence that the test documentation has been updated and identifies the scope of
testing for this design.
Confirmation by the Authority that the design has been reviewed and is appropriate.
Evidence that the relevant documentation has been completed and approved as per
Schedule O (Documentation) to the level of detail required by the Authority as
described in Schedule D (Detailed Operational Requirements).
3.2.5 SAR4: Product Verification Review
Purpose:
The purpose of the Product Verification Review is to certify that the product has been
manufactured correctly in accordance with the agreed design and can be subjected to
formal Acceptance Testing.
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Acceptance Criteria:
Test scripts have been produced by the Contractor and accepted by the Authority.
Factory Acceptance Testing has been successfully completed.
The product has been built and successfully tested at a system level.
Preparation is complete for Acceptance Testing.
Evidence:
Evidence that management controls, as defined in Schedule Q Part A (Contractor’s
Solution), have been implemented including a review of Stage Plans.
Written confirmation by the Authority of the successful completion of system level
testing as per appropriate test documentation, including functional, non-functional
and integration testing.
Provision of Test Summary Reports for any low level testing carried out by the
Contractor prior to each Acceptance Testing Event.
Written approval by the Authority of the proposed test environment for Acceptance
Testing.
Evidence of development of user manual.
Evidence of development of training materials.
Evidence of successful usability trials.
Written approval by the Authority that the test documentation is appropriate to
Acceptance Testing.
Evidence that Acceptance Criteria have been set as an attribute for each Requirement
that will be subject to Acceptance Testing.
Evidence that the relevant documentation has been completed and approved as per
Schedule O (Documentation) to the level of detail required by the Authority as
described in Schedule D (Detailed Operational Requirements).
3.2.6 SAR5: Product Acceptance Review
Purpose:
The purpose of the Product Acceptance Review is to certify that product is fit for
purpose and is ready to be deployed.
Acceptance Criteria:
Test scripts produced by the Contractor are accepted by the Authority.
Acceptance Testing successfully completed.
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The product release is stable and mature enough to be deployed in the user
community.
The Bureau are ready to receive the system.
Evidence:
Evidence that management controls, as defined in Schedule Q Part A (Contractor’s
Solution), have been implemented including a review of Stage Plans.
Evidence of traceability of Acceptance Test results to Requirements.
Written confirmation by the Authority of the successful completion of Acceptance
Testing as per appropriate test documentation, including the successful execution of
key scenarios for each of the Use Cases and in accordance with Clause 5 hereunder.
Written confirmation by the Authority of the successful completion of any
benchmarking trials.
Evidence of agreement to Memorandum of Understanding for each Bureaux.
Evidence of the development and Authority approval of training plans.
Evidence that the deployment plan has been approved by the Authority and Pilot
Bureaux have been identified if required.
Evidence of approval of any updates to end-user Manuals and training materials.
Evidence that the relevant documentation has been completed and approved as per
Schedule O (Documentation) to the level of detail required by the Authority as
described in Schedule D (Detailed Operational Requirements).
3.2.7 SAR6: Operational Acceptance Review
Purpose:
The purpose of the Operational Acceptance Review is to certify that the system is
fully operational and is satisfying the business needs.
Acceptance Criteria:
The system has been fully deployed in accordance with the deployment plan.
The system is running successfully in accordance with the Requirements.
Evidence:
Evidence that the system has been successfully deployed in each Bureaux in
accordance with the deployment plan.
Evidence of successfully deployment of fully operational pilots (where required by
the deployment plan)
Evidence that the Requirements are continuing to be met in particular all functionality
continues to be provided with no degradation in performance.
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Evidence that training is being received and is effective in accordance with the
Training Plan (Schedule O:23 (Documentation)).
Evidence that the relevant documentation has been completed and approved as per
Schedule O (Documentation) to the level of detail required by the Authority as
described in Schedule D (Detailed Operational Requirements).
3.3
Progressive Acceptance Reviews
PARs shall be used in certain circumstances for specific purposes when SARs are not
appropriate as a means of measuring and controlling Incremental Acceptance.
These PARs include, but are not limited to:
3.3.1 PAR: Programme Initiation Review (PIR)
Purpose:
The purpose of the Programme Initiation Review is to establish the IDENT1
programme on a sound basis, by means of a Contractor briefing to the Authority.
Acceptance Criteria:
(a)
PIR presentation event complete
(b)
Issues and risks are discussed and recorded.
(c)
Associated documentation has been delivered in accordance with Schedule O
(Documentation).
Evidence:
PIR minutes have been delivered to the Authority by the Contractor.
3.3.2 PAR: Continuity of Service Review
Purpose:
The purpose of the Continuity of Service Review is to certify that upon TOR of the
existing NAFIS Service still meets its operational and service level Requirements.
Acceptance Criteria:
(a)
A written statement by the Contractor to the Authority no later than 30 days
prior to TOR-NAFIS fully evidencing, to the reasonable satisfaction of the
Authority, its complete readiness, preparedness and ability to take full
operational responsibility for continuity of the associated existing
Operational Services to be transferred at that Milestone.
(b)
The continuity of existing services currently provided by the NAFIS systems
and associated NAFIS Livescan technology.
(c)
The delivery of capabilities compliant with each aspect of the NAFIS Service
Level Requirements.
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(d)
The completion of all activities and Deliverables relating to Transfer of
Responsibility as set out in Schedule G (Transition).
Evidence:
Confirmation that the operational system has been successfully tested against the
NAFIS Requirements.
3.3.3 PAR: Periodic Interface Review
Purpose:
The purpose of the Periodic Interface Review is to certify that data integrity,
synchronisation and reconciliation is maintained between IDENT1 system and peer
systems and services, e.g. PNC.
Acceptance Criteria:
The infrastructure, messaging, error and exception handling of the interfaces with
other systems and services, especially PNC, operate in accordance with the relevant
ICDs.
Evidence:
Evidence that the relevant communications infrastructure operates in accordance with
the relevant ICDs and meets the appropriate security requirements for that
connection.
Evidence that messages are conveyed in accordance with the relevant ICDs.
Evidence that data integrity is maintained.
3.3.4 PAR: BRC Completion Review
Purpose:
The purpose of the BRC Completion Review is to certify that completeness and data
integrity of data permanently introduced and converted into the Unified Collection
from other sources.
Acceptance Criteria:
All records have been ingested, converted and verified.
Use of the records has been operationally validated.
Evidence:
Record counts are correct and all records for which are accounted.
Test transactions indicated that the records are available and usable.
3.3.5 PAR: Progressive Improvement Review
Purpose:
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To assure that planned progressive improvements are successfully implemented and
deliver the expected additional Services or benefits.
To validate improvements in search accuracy, in accordance with Schedule F
(Service Level Requirement), at each of:
(a)
BOS + 90 days
(b)
BOS+1 (one year following BOS); and
(c)
BOS+4 (four years following BOS).
Acceptance Criteria:
For each Search Accuracy Benchmark (SAB) (that is, at EOS1, BOS+1 and BOS+4)
the corresponding Target Accuracy Levels stated in Figure 2.5-4 Search Accuracy
Target Values of Schedule F (Service Level Requirement) have been met or
exceeded.
Evidence:
A Search Accuracy Benchmark (SAB) has been conducted for the corresponding
Progressive Search Accuracy Improvement Review at each of EOS1, BOS+1 and
BOS+4, in accordance with Schedule F (Service Level Requirement), such that the
search accuracy for each search type is demonstrated, within statistical confidence
bounds, to meet or exceed the corresponding target range stated in Figure 2.5-4
Search Accuracy Target Values of Schedule F (Service Level Requirement).
3.3.6 PAR: Security Accreditation Review
Purpose:
Periodically, or as instructed by the National Accreditor, and as set out in Schedule K
(Security), to achieve Accreditation by the National Accreditor and to assure that the
Security Requirements, as defined in Schedules D (Detailed Operational
Requirements), K (Security), and Q (Contractor’s Solution) continue to be
satisfied.
Acceptance Criteria:
The issue of a Certificate of Accreditation by the National Accreditor for Police
Information Systems and Communication Security.
Evidence:
Certificate of Accreditation by the National Accreditor.
The Accreditation Documentation Set (“ADS”) as set out in Schedules D (Detailed
Operational Requirements), K (Security), and Q (Contractor’s Solution).
The outcome of a Health Check, as required under Schedules D (Detailed
Operational Requirements) and K (Security).
A supporting action plan to resolve any deficiencies, waivers or deviations with
respect to continued Accreditation.
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3.3.7 PAR: Business Continuity Review
Purpose:
To assure that the Business Continuity Plan has been implemented as agreed in
Schedule Q part A (Contractor’s Solution)
Acceptance Criteria:
Successful dry-run testing of the Business Continuity Plan as defined in Schedule O
(Documentation).
Evidence:
Business Continuity Plan as detailed in Schedule O (Documentation).
Dry-run test scripts.
Business monitoring metrics.
3.4
Acceptance Events
3.4.1 An Acceptance Event shall be defined as an activity, the successful completion of one
or more of which culminates in an IAR. All Acceptance Events shall be carried out in
accordance with the procedures set out in Clause 5.2 below. The Contractor shall
identify which Acceptance Event(s) it considers should be employed by the
Contractor for each IAR. The decision as to which Acceptance Events to be
employed for each IAR shall be mutually agreed between the Parties during the
planning process leading to Acceptance Testing of the relevant Milestone. For the
avoidance of doubt, the Acceptance Events already listed in Annex H-1 of this
Schedule shall be included within the relevant IAR in addition to any others agreed
during the planning process referred to above.
3.4.2 The following are potential Acceptance Events, although this list is not exhaustive:
(a)
DDR – Deliverable Document Review;
(b)
SRR – System Requirements Review;
(c)
PDR – Preliminary Design Review;
(d)
CDR – Critical Design Review;
(e)
SHC – Security Health Check;
(f)
SAB – Search Accuracy Benchmark;
(g)
PAT – Pilot Acceptance Test;
(h)
PCE – Proof of Concept Evaluation;
(i)
UCT – User Centred Test;
(j)
FAT – Factory Acceptance Test;
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(k)
SAT – Site Acceptance Test;
(l)
ICT – Installation Checkout Test;
(m)
ORR – Operational Readiness Review; and
(n)
OAV – Operational Acceptance Validation.
3.5
Acceptance Methods
3.5.1 The Contractor shall apply the following list of the potential Acceptance Method(s)
that shall be employed for an Acceptance Event:
(a)
Product Reviews;
(b)
Analysis;
(c)
Acceptance Tests;
(d)
Witnessed Installation and Checkout of Equipment; and
(e)
Pilot and Proof of Concept.
3.5.2 The decision as to which Acceptance Methods, and all the component parts thereof,
that shall be employed for each Acceptance Event shall be mutually agreed between
the Parties during the planning process leading to Acceptance Testing of the relevant
Milestone.
3.5.3 The Acceptance Methods shall be in accordance with the IEEE Standard for Software
Reviews (IEEE Std 1028-1997), where appropriate.
3.5.4 The Contractor shall identify which Acceptance Method(s) will be employed during
each Acceptance Event. The Contractor shall describe these in the Acceptance
Documentation, as set out in Clause 3.6.
3.5.5 Product Reviews
The Product Review types that shall be employed as Acceptance Methods shall
include:
(a)
Management Reviews;
(b)
Technical Reviews;
(c)
Inspections;
(d)
Walkthroughs; and
(e)
Audits.
3.5.6 Analysis
(a)
Analysis shall be employed as an Acceptance Method where mutually agreed
between the Parties.
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(b)
The Contractor shall supply all mathematical models, algorithms,
simulations, engineering drawings, software and hardware specifications,
calculations and supporting materials in order to facilitate analysis by the
Authority.
3.5.7 Acceptance Tests
(a)
The purpose of each Acceptance Test is Validation of a defined set of
Requirements by Demonstration.
(b)
The Contractor shall organize and manage each Acceptance Test. The types
of Acceptance Tests that may be employed as Acceptance Events shall
include a subset of the Acceptance Events described in Clause 3.4 above.
(c)
The substance of each Acceptance Test may be one or more of the following:
(i)
Functional Tests;
(ii)
Performance Tests;
(iii)
Usability Tests;
(iv)
Search Accuracy Tests; and
(v)
Security Tests.
(d)
Tests of other attributes of the Service and the Acceptance Criteria shall
relate to fitness for purpose and the Acceptance Criteria in Clause 3 above.
(e)
As part of each Acceptance Test, the Contractor shall conduct Regression
Tests by exercising an appropriate subset of previous Acceptance Tests with
sufficient coverage to ensure that the introduction of New Services and
capabilities does not result in Defects against the Requirements for Services
and capabilities which have already been accepted.
3.5.8 Functional Tests
Functional Tests shall be based upon the Use Cases in Schedule D (Detailed
Operational Requirements) and the Criteria shall be based upon the Requirements.
3.5.9 Performance Tests
Performance Tests shall include START, STRESS and SOAK as defined in Schedule
D (Detailed Operational Requirements) and the Acceptance Criteria shall relate to
Schedule F (Service Level Requirements).
3.5.10 Usability Tests
Usability Tests shall involve end-user Representatives and the Acceptance Criteria
shall relate to quantifiable and demonstrable improvement in the business process.
3.5.11 Search Accuracy Tests
Search Accuracy Tests shall involve end-user Representatives and the Criteria shall
be derived from the Requirements set out in Schedule D (Detailed Operational
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Requirements) and from the Criteria used by the Authority in the Search Accuracy
Evaluation Benchmarks and shall relate to quantifiable and demonstrable
improvement in business benefits.
3.5.12 Security Tests
Security Tests shall include the Health Check as referenced in Schedule D (Detailed
Operational Requirements) and the Acceptance criteria shall relate to HMG Infosec
standards.
3.5.13 Witnessed Installation and Checkout of Equipment
(a)
The Contractor shall provide an Installation Checklist, as set out in Schedule
O:8 (Documentation), to demonstrate that all necessary equipment has been
provided, installed, configured and can been shown to be working. The
Contractor shall invite the Authority and, where relevant, IDENT1 end-user
Organisations to witness installation and checkout Acceptance Events.
(b)
The Acceptance Criteria shall be the successful completion of the Installation
Checklist and subsequent evidence of expected system and service behaviour
under controlled conditions.
3.5.14 Pilot and Proof of Concept
The Authority may permit Pilot Services and Proof of Concept Services in the
Operational Environment to support user centred design and the early assessment of
operational and business benefits.
(a)
“Pilot Services” shall mean the introduction into the Operational
Environment of planned new capabilities pending full Verification and
Validation.
(b)
“Proof of Concept Services” shall mean the introduction of potential new
capabilities of strictly limited scope and of strictly limited duration into the
Operational Environment on an experimental basis.
(c)
The deployment of Pilot Services and of Proof of Concept Services shall be
at the sole discretion of the Authority and shall satisfy minimum standards
including, but not limited to, standards of security and of data integrity, as
defined by the Authority on a case by case basis.
(d)
The Acceptance Criteria shall be those developed to evidence operational and
business benefit.
3.5.15 System Upgrades
(a)
The Contractor shall conduct regression tests to Verify and Validate upgrades
to the Services.
(b)
The scope of upgrade testing and the associated Criteria shall be analogous to
those used to Verify and Validate the original service capabilities.
3.5.16 User Test Bed
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(a)
The Contractor shall establish a user test bed within the UK (“UTB”) which
the Authority is entitled to use from time to time as agreed with the
Contractor. The UTB will be used to maximise the beneficial input of the
Authority end-user representatives to the process of identifying and resolving
defects which might impact the Authority users' operational work but which
might otherwise not be identified until Factory Acceptance Testing or which
might otherwise not be identified at all prior to deployment.
(b)
The UTB shall be managed by the Contractor and the Authority shall assist
the Contractor in managing test activities in the UTB. For the avoidance of
doubt, the Contractor shall manage deployment of Software/Release
baselines to the UTB.
(c)
The UTB configurations shall run in parallel to the Acceptance Test Bed
(“ATB”) configuration (and other test beds as shall be necessary to deliver
and assure the IDENT1 Service). The UTB shall include user “free play”,
“day in the life” activities. It is envisaged this testing is completed by the
Authority in advance of the Release in order to identify issues/defects and to
enable such issues/defects to be corrected by the Contractor as part of the
final acceptance testing in the ATB and use case scenario testing. Once an
issue/defect has been identified to the Contractor under this Section 3.5.16(c),
the Contractor shall treat it and resolve it as if it is an issue/defect that had
arisen under the ATB testing process.
(d)
The Contractor shall take all reasonable steps to use the UTB facility in other
ways that are beneficial to the quality of IDENT1 systems and services.
3.6
Acceptance Documentation
The Contractor shall develop and deliver to the Authority documentation associated with
Acceptance as in accordance with the following provisions:
3.6.1 Test Strategy
The Contractor shall deliver a Test & Acceptance Strategy, as set out in the
Programme Initiation Review Documentation in Schedule O (Documentation),
which shall define the Contractor’s general approach to Acceptance of the Service.
3.6.2 Acceptance Event Plan
(a)
The Contractor shall provide an Acceptance Event Plan for each Acceptance
Event as part of the Stage Plan at O:18, as set out in Schedule
O(Documentation).
(b) At a minimum the Acceptance Event Plan shall include:
(i)
a description of the Acceptance Event environment;
(ii)
criteria for Acceptance Event readiness;
(iii)
a description of Acceptance Event scripts, which the Contractor shall
develop from Use Case scenarios and associated functional and non-
functional Requirements to ensure complete coverage of the
capability or product under test;
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(iv)
a description of the scope of Regression Testing;
(v)
criteria for successful Acceptance Event completion; and
(vi)
the Requirements to be verified and/or validated by the Acceptance
Event.
3.6.3 Acceptance Event Report
(a)
The Contractor shall provide an Acceptance Event Report for each
Acceptance Event, as set out in O:6 of Schedule O (Documentation).
(b) This Report shall be a true record of the Acceptance Event, and at a minimum
it shall include:
(i)
names and roles of participants and attendees;
(ii)
the status of the Acceptance Event environment;
(iii)
the achievement of the Acceptance Criteria for Acceptance Event
readiness;
(iv)
the Acceptance Event conduct;
(v)
the outcome of Regression Testing;
(vi)
the achievement of the Acceptance Criteria for successful
Acceptance Event completion;
(vii)
any deviations from the Acceptance Criteria for successful
Acceptance Event completion;
(viii) any Defects and deficiencies in the Services or capabilities
undergoing acceptance, and an associated resolution plan; and
(ix)
the Requirements verified and/or validated by the Acceptance Event.
3.6.4 IAR Closure Report
(a)
For each IAR, the Contractor shall produce a Closure Report (“IAR Closure
Report”) as set out in Schedule O:7 (Documentation). This shall apply
equally to both types of IAR; whether a SAR or a PAR.
(b) At a minimum each set of IAR Closure Report shall contain:
(i)
the name and role of the participants in the IAR;
(ii)
a description of the Acceptance Events culminating in the IAR;
(iii)
a statement confirming that the required QA procedures (as detailed
in Schedule Q (Contractor’s Solution) have been followed;
(iv)
the outcome of the Acceptance Event(s) culminating in the IAR;
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(v)
a description of exceptions during the Acceptance Event(s)
culminating in the IAR; and
(vi)
the disposition of any Defects recorded during the Acceptance
Event(s) culminating in the IAR.
(c)
Furthermore, each set of IAR Closure Report shall also contain either:
(i)
a description of any Defects and the completed resolution of each
such Defects; or
(ii)
a description of any Defects and, where agreed with the Authority, a
firm commitment by the Contractor to correct such Defects as part of
a subsequent IAR; or
(iii)
a statement of exception, justifying why the Defect(s) does not
compromise Acceptance.
3.6.5 Acceptance Event Locations
(a)
The Contractor shall conduct Acceptance Events at one or more of the
following locations:
(i)
Authority Premises;
(ii)
IDENT1 end-user premises; and
Hendon Data Centre
Northrop Grumman
Northrop Grumman
Peel Estate
Stratford Road
12900 Federal Systems Park Drive
Aerodrome Road
Shirley
Fairfax, VA 22033
Colindale
Solihull
NWG 5JE
West Mids B904ZS
(b) Proposals to use Authority Premises or IDENT1 end-user premises shall be
subject to their suitability, to their availability and to the prior written
approval of the Authority.
(c)
Proposals to use premises other than Authority Premises, IDENT1 end-user
premises or Contractor nominated locations above shall be subject to the
Requirements of Schedule K (Security) and to the prior written approval of
the Authority.
3.7
Acceptance Test Environment
Use of the Operational Environment for Acceptance Test activities will not usually be
possible or permissible for operational and policy reasons (unless determined by the
Authority to be otherwise). Therefore, the Contractor shall provide a Non Operational
Acceptance Test Environment which replicates the Operational Environment as far as is
practicable. The Non Operational Acceptance Test Environment shall be sufficiently
representative of the Operational Environment to give the Authority and end-users the full
assurance that the capability undergoing test is of high quality, is fit for purpose, and is fit for
deployment into the Operational Environment.
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4
ACCEPTANCE ROLES AND RESPONSIBILITIES
4.1
The Contractor
4.1.1 The Contractor shall be responsible for the provision of:
(a)
The Test Environment – including premises and all supporting equipment.
(b)
Test Engineer(s) – individual(s) who shall exercise the Test Scripts.
(c)
QA Representative(s) - individual(s) who shall record a true account of each
Acceptance Event as detailed in Schedule Q (Contractor’s Solution).
(d)
Test Documentation – which shall include Acceptance Event Plans and
Acceptance Event Reports as detailed in Schedule O (Documentation),
together with any other procedures, scenarios or scripts required by the
Authority.
(e)
Test Data.
4.1.2 The Contractor shall make all efforts, on a reasonable endeavours basis, to secure the
cooperation of IDENT1 end-user organisations with respect to:
(a)
the agreement of an end-user organisation Memorandum of Understanding
for each end-user Organisation.
4.2
The Authority
4.2.1 As the Authority has the right to observe, witness and participate in Acceptance
Events, the Authority shall provide representatives for this purpose on a reasonable
endeavours basis.
4.2.2 The Authority shall be responsible for the selection and nomination to the Contractor
of a reasonable and appropriate number and type of User Representatives to observe
FATs, Acceptance Testing and ICTs or to participate in UCTs.
4.2.3 The Authority shall make all efforts, on a Commercially Reasonable Efforts basis, to
secure the cooperation of IDENT1 end-user organisations with respect to:
(a)
the agreement of an end-user organisation Memorandum of Understanding as
defined in Schedule O (Documentation) for each end-user organisation;
(b)
the provision by end-user organisations Test Data and Training Data; and
(c)
the provision by end-user organisations of a reasonable and appropriate
number of end-user Representatives to observe FATs, Acceptance Testing
and ICTs or to participate in UCTs.
4.3
Third Party IDENT1 Stakeholders
4.3.1 Third party IDENT1 stakeholders include IDENT1 end-user organisations (most of
which are individual Police Forces). The Authority shall use its reasonable
endeavours to obtain the cooperation of the stakeholders.
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4.3.2 Each IDENT1 end-user organisation is expected to enter into a Memorandum of
Understanding, which shall be a tri-partite agreement between the end-user
organisation, the Authority and the Contractor concerning the installation,
configuration and checkout of Contractor equipment and the use by the Contractor of
IDENT1 end-user organisations facilities, as defined. The template for the end-user
organisation Memorandum of Understanding is defined in Schedule O
(Documentation).
4.3.3 IDENT1 end-user organisations are expected to provide, at the request of the
Authority, a reasonable and appropriate number of end-user Representatives to
observe FATs, Acceptance Testing and ICTs or to participate in UCTs.
4.3.4 IDENT1 end-user organisations are expected to lend assistance with the provision of
Training Data and Test Data.
5
ACCEPTANCE PROCEDURES AND TIME PERIODS
5.1
General
5.1.1 In all matters relating to Acceptance, the Authority will comply with the terms of this
Schedule and the Authority shall be entitled to withhold Acceptance or approval for
the Contractor to proceed in the event the Contractor has not met the Acceptance
Criteria in accordance with the provisions of this Clause 5. However, in the event
that the Authority withholds Acceptance or approval to proceed, then an Exception
will be deemed to have occurred.
5.1.2 In the event of such an Exception the Authority shall state the reasons for so doing in
writing to the Contractor within 2 working days of the Authority’s decision to
withhold Acceptance to proceed and shall inform the Contractor which option it
wishes to adopt under Clause 5.9.2 below.
5.1.3 In the event of such an Exception, the Contractor shall be liable for consequent costs,
delays, re-work and re-testing.
5.2
Acceptance Events
The following procedure shall apply to all Acceptance Events.
5.2.1 Procedures
(a)
The Contractor shall confirm to the Authority the date and location for each
Acceptance Event, together with any needs such as rnd-user support, no later
than 60 calendar days prior to the commencement of the first day of that
Acceptance Event, unless otherwise agreed in writing by the Authority.
(b)
The Contractor shall deliver to the Authority a draft Test Procedures
Specification, as set out in Schedule O (Documentation), including Pass/Fail
Criteria, for each Acceptance Event, no later than 45 calendar days prior to
the commencement of the first day of that Acceptance Event, unless
otherwise agreed in writing by the Authority.
(c)
The Authority shall submit consolidated comments on the draft Test
Procedures Specification to the Contractor, including any deficiencies in the
scope or quality of the Contractor’s plans, no later than 30 calendar days prior
to the commencement of the first day of that Acceptance Event.
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(d)
The Contractor shall take the Authority’s comments on the draft Test
Procedures Specification into account and the Contractor shall re-submit the
Test Procedures Specification for final approval by the Authority, for each
Acceptance Event, no later than 15 calendar days prior to the commencement
of the first day of that Acceptance Event, unless otherwise agreed in writing
by the Authority.
(e)
At the commencement of each Acceptance a Readiness Review will be held,
during which the Contractor shall brief the Authority on the state of readiness
for the Acceptance Event. The Contractor shall keep minutes of each
Readiness Review, as set out in Schedule O (Documentation).
(f)
At this Readiness Review the Authority shall assert its view of readiness for
the Acceptance Event. In the event that the Authority and the Contractor do
not agree that there is a state of readiness for the Acceptance Event, then an
Exception will be deemed to have occurred and the Parties shall agree the
items that need to be actioned by the Contractor (as applicable) in order to
achieve the required state of readiness for the relevant Acceptance Event. In
the event of such an Exception, the Contractor shall be liable for consequent
costs, delays, re-work and re-testing.
(g)
Upon completion of the Acceptance Event, a Completion Review will be
held, in which the Contractor shall brief the Authority on the outcome of the
Acceptance Event, which shall be a ‘Pass’ or ‘Fail’ according to the pre-
agreed Acceptance Criteria for the Event. The Contractor shall keep minutes
of each Completion Review, as set out in Schedule O (Documentation).
(h)
The Contractor shall provide an Acceptance Event Report for each
Acceptance Event in draft version, as set out in Schedule O
(Documentation), within 14 working days of the Completion Review.
(i)
The Authority shall submit consolidated comments to the Contractor on the
draft Acceptance Event Report for each Acceptance Event, noting any
deficiencies in the outcome, within 30 calendar days of receipt.
(j)
The Contractor shall take the Authority’s comments on the draft Acceptance
Event Report into account and the Contractor shall re-submit the Acceptance
Event Report for final approval by the Authority, for each Acceptance Event,
within 30 calendar days of receipt, unless otherwise agreed in writing by the
Authority.
(k)
The Authority shall, within 30 calendar days of receipt of the Acceptance
Event Report in final version, assert its definitive view of the outcome of the
Acceptance Event in writing to the Contractor. If, in the view of the
Authority, the Acceptance Event has passed Acceptance, then it shall be
included in the relevant IAR as part of the assessment as to whether a
relevant Milestone has been passed. If the Authority considers that the
Acceptance Event has not passed Acceptance, then an Execption will be
deemed to have occurred and the Authority shall decide which option it
wishes to adopt under Clause 5.9.2 below.
(l)
In the event of such an Exception, the Contractor shall be liable for
consequent costs, delays, re-work and re-testing.
5.2.2 Criteria
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Successful Acceptance event completion, Verification and Validation of requirements
according to the specific criteria developed and set out in the Test Procedures
Specification.
5.3
Incremental Acceptance Reviews
5.3.1 Procedures
(a)
IARs, whether each is a SAR or a PAR, shall provide the means by which the
Verification and Validation of Requirements can be evidenced by the
Contractor, and the means by which the Authority can consider such
evidence, with a view to Accepting services and capabilities.
(b)
The Contractor shall call each IAR when the corresponding Acceptance
Events have successfully completed and have been deemed by the Authority
to have passed the pre-agreed Criteria for the relevant Event. The Contractor
shall call each IAR provided it gives the Authority with at least 10 working
days notice. Each IAR can be conducted as a face-to-face meeting, or a
videoconference, an audio conference, as mutually agreed between the
Parties.
(c)
The Contractor shall submit an IAR Closure agenda/items (contents to be
agreed with the Authority) no less than 5 working days in advance of the first
day of the IAR (typically IARs will have a duration of less than one day if
agreed by the Parties).
(d)
At the IAR, the Contractor will conduct a walkthrough presentation of the
IAR Closure items above. The IAR shall provide an opportunity for an open
discussion between the Authority and the Contractor concerning the IAR
Closure Report as a true record of Acceptance Events culminating in the IAR.
The Contractor shall keep minutes of each IAR, as set out in Schedule O
(Documentation).
(e)
No later than 2 working days after each IAR, the Authority shall assert its
provisional view of Acceptance as determined by the scope of the IAR.
Following the assertion of the Authority’s provisional view, the Authority
shall be entitled to either or accept or reject the IAR. If the Authority rejects
the IAR, then an Exception will be deemed to have occurred and the
Authority shall decide which option it wishes to adopt under Clause 5.9.2
below.
5.3.2 Criteria
The Acceptance Criteria shall be as set out in Clause 3 of this Schedule for the IAR in
question.
5.4
Deliverable Documentation
5.4.1 Procedures
(a)
Schedule O (Documentation) sets out the Deliverable Documentation under
this Contract which shall each be subject to deliverable document review.
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(b)
Unless otherwise specified in Schedule O (Documentation) Clause 5 of this
Schedule, defines the required timing/timescales or periodicity of the delivery
of each document relative to IARs, Milestones or other reference points.
(c)
The Contractor shall deliver each Deliverable Document in draft version, as
set out in Schedule O (Documentation). The Authority shall have the
opportunity to provide written comments on each document, including the
identification of deficiencies.
(d)
The Authority shall submit consolidated comments to the Contractor on the
draft Deliverable Document within 30 calendar days of receipt.
(e)
The Contractor shall take the Authority’s comments in the draft Deliverable
Document into account and the Contractor shall re-submit within 15 calendar
days the Deliverable Document for final approval by the Authority, unless
otherwise agreed in writing by the Authority.
(f)
The Authority shall, within 15 calendar days of receipt of the Deliverable
Document in final version, assert its definitive view of the fitness for purpose
of the Deliverable Document. If, in the view of the Authority, the relevant
Deliverable Document, has passed the Acceptance Event then it shall be
included in the relevant IAR as part of the assessment as to whether a
relevant Milestone has been passed. If the Authority considers that the
Documentation has not passed Acceptance, then an Exception will be deemed
to have occurred and the Authority shall decide which option it wishes to
adopt under Clause 5.9.2 below.
(g)
In the event that the Authority and the Contractor do not concur that a
Deliverable Document is fit for purpose, then an Exception will be deemed to
have occurred. In the event of such an exception, the Contractor shall be
liable for consequent costs, delays and re-work.
(h)
For the LANTERN Pilot Phase 2 Deliverable Documents, above Clauses
5.4.1 (b) through 5.4.1 (g) shall not apply. The Contractor shall deliver the
Schedule O (Documentation) document in accordance with the LANTERN
Pilot Phase 2 – Implementation Phase Schedule. The document reviews by
the Authority shall be handled on an exception basis where the documents
shall be considered “Fit for Purpose” with approval to proceed unless written
notice is received by Northrop Grumman not later than ten (10) working days
following receipt of the document by the Authority.
(i)
Clauses 5.4.1(b) through to 5.4.1(h) above shall not apply to the IDENT1
Services for UKvisas. The review of the Deliverable Documentation in
respect of the IDENT1 Services for UKvisas shall be carried out on an
exception basis, where the documents shall be considered “Fit for Purpose”
with approval to proceed, unless written notice to the contrary is received by
the Contractor no later than fifteen (15) working days following the receipt of
the document by the Authority.
(j)
For the LANTERN Service Expansion Deliverable Documents, above
Clauses 5.4.1 (b) through 5.4.1 (g) shall not apply. The Contractor shall
deliver the Schedule O (Documentation) document in accordance with the
LANTERN Service Expansion Schedule. The document reviews by the
Authority shall be handled on an exception basis where the documents shall
be considered “Fit for Purpose” with approval to proceed unless written
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notice is received by Northrop Grumman not later than ten (10) working days
following receipt of the document by the Authority
5.4.2 Criteria
The Acceptance Criteria for the Deliverable Documents are set out in this Clause
5.4.2. The Deliverable Documents shall:
(a)
meet the relevant product description in Schedule O (Documentation);
(b)
be delivered to the Authority on the dates set out in Schedule O
(Documentation);
(c)
be clearly written and intelligible, with good spelling and grammar, clear and
consistent formatting, convenient indexing and navigation;
(d)
be appropriate to the target readership;
(e)
be available in both hard (printed) and soft (electronic) copy, in formats
mutually agreed between the parties;
(f)
bear the correct protective marking under the GPMS in accordance with
Schedule K (Security); and
(g)
correctly reflect the design and other attributes of the Service to be conveyed.
5.5
Issue of Certificates of IAR Acceptance
5.5.1 Upon successful conclusion and acceptance by the Authority (under Clause 5.3.1
above) of the IARs for Transition Milestones in Clauses 2.3.1, 2.3.2 2.3.3 and 2.3.4
above the Contractor shall issue a written "Certificate of IAR Acceptance" to the
Authority for signature by both Parties, supported by a written statement signed at
Director level that the Contractor's quality assurance procedures as set out in
Schedule Q (Contractor’s Solution) have been followed and that the Acceptance
Events have been undertaken in accordance with the Requirements of the Acceptance
Procedures set out in Clauses 5.2 and 5.3 above. The Authority shall use its
reasonable endeavours to sign and return the relevant and valid Certificate of IAR
Acceptance within 15 calendar days of receipt from the Contractor.
5.5.2 Acceptance of other Transition Milestones prior to EOS1 shall be subject to a written
IAR confirmation letter that all Acceptance Events required under the relevant
Milestone have been satisfactorily completed. The Authority shall use its reasonable
endeavours to confirm acceptance of the relevant and valid IAR confirmation letter
within 15 calendar days of receipt from the Contractor.
5.5.3 Without prejudice to the rights and remedies available to the Authority under the
Contract or at Law, in the event that the Authority decides to defer resolution of any
Defects or Failures existing at an IAR to a later Milestone, an IAR “fixlist” shall be
attached to the relevant Certificate of IAR Acceptance or IAR confirmation letter.
5.5.4 Acceptance of the IAR for the Services at EOS1 shall be subject to Clause 5.9.4
below and a written Certificate of IDENT1 Services Acceptance (as issued in
accordance with Clause 5.6 below).
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5.6
Certificate of IDENT1 Services Acceptance
5.6.1 The Certificate of IDENT1 Services Acceptance shall contain, as a minimum:
Statements that, inter alia:
(a)
the Contractor considers that the associated IAR has now been completed in
accordance with Annex H-1 of this Schedule.
(b)
the Acceptance Criteria upon which the Contractor has issued the written
“Certificate of IDENT1 Services Acceptance” to the Authority, for signature
by the Parties is as set out in this Schedule and that it is accepted by the
Authority and the Contractor that Acceptance has been fully carried out in
accordance with this Schedule and meets, in full, the Requirement for
Acceptance as specified in this Schedule.
(c)
therefore, the Contractor confirms that all the specified records in relation to
Acceptance Testing are complete and available, for the relevant Acceptance
Event or Milestone (as applicable).
(d)
agreement by the Parties that, in signing and dating the Certificate of
IDENT1 Services Acceptance, the Contractor has provided, and the
Authority has accepted, that the Services, are available from the date of
signing the Certificate of IDENT1 Services Acceptance and are fully ready in
accordance with Requirements, as described in Clause 2.2 of this Schedule.
(e)
the backstop dates for completion of any remedial work on the IDENT1
Fixlist that may have been agreed.
5.6.2 The Authority shall use its reasonable endeavours to sign and return the Certificate of
IDENT1 Services Acceptance within 36 calendar days of receipt from the Contractor.
5.7
Acceptance by Default
If all of the relevant Acceptance Criteria have been met by the Contractor for the relevant
Acceptance Event but the Authority has not issued the Certificate of IDENT1 Services by the
end of the prescribed periods of 15 or 36 calendar days respectively in Clause 5.5 and 5.6
above, or the Authority has not notified the Contractor in writing that it is not satisfied that
the IAR has been successfully completed (and, if so, giving reasonable justification), then the
IAR shall be deemed to have been accepted upon the expiry of such 15 or 36 calendar day
period.
5.8
[NOT USED]
5.9
Acceptance Failure
5.9.1 Major and Minor Defects
In determining whether or not Defects are Major or Minor, and/or Failures for
Acceptance Events are Material or Non-Material the Parties shall take account of any
agreement between the Parties reached in relation to an appropriate course of action
as set out elsewhere in this Schedule. Further, in relation to the definitions set out
above, if the Parties disagree as to whether Defects are Major Defects or Minor
Defects and/or Failures for Acceptance Event are Material Acceptance Event Failure
or Non-Material Acceptance Event Failure with or without a significant adverse
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effect on the provision or performance of the Services, the Parties shall promptly
escalate such issue in accordance with the escalation procedure set out in Clause 5.13
below in order to resolve the relevant issue.
5.9.2 Failure Resolution
(a)
During Acceptance Events and IARs, in the event that any Defects and/or
Failures are identified, the Parties shall discuss and agree procedures in
respect of remedial action with a view to re-performance of the affected
Acceptance Event(s) as set out in Clause (i) and (ii) below and the effect of
the results of the Acceptance Event upon the IDENT1 programme.
(i)
Subject to Clauses 5.9.2(b), 5.9.3 and 5.9.4 below, if an Acceptance
Event, or any part thereof, does not pass the relevant Acceptance
Criteria set out under the associated IAR, the Contractor shall
promptly take appropriate action to remedy the relevant Defect or
Failure and/or perform the Acceptance Event (or the relevant part
thereof) and, upon completion of the agreed remedial action, at the
Contractor’s own expense, shall repeat the procedures in the
Acceptance Event, to enable the Acceptance Event to pass the
relevant Acceptance Testing Criteria set out in Annex H-1 of this
Schedule.
(ii)
Unless otherwise agreed between the Parties, the Contractor shall re-
perform the Acceptance Event within 15 (fifteen) working days of
the date such Acceptance Event failed to pass the IAR Acceptance
Criteria.
(b)
In the event of failure by the Contractor to pass the Acceptance Testing
/Acceptance Criteria with respect to IARs prior to EOS1 requiring only a
written confirmation letter, the provisions of this Clause 5.9.2(b) shall apply
as follows:
(i)
if, following no more than two re-performances of the relevant
Acceptance Event, the Acceptance Event (or any part thereof) still
fails the Acceptance Testing Criteria set out in this Schedule (as
applicable), then the Authority shall, at its sole discretion have the
right to, and without prejudice to any other rights or remedies
available to the Contractor under the Contract:
(A)
request that the Contractor remedy, replace or
perform the Acceptance Event again, as applicable
and repeat the evaluation under the Acceptance
Testing Criteria; or
(B)
allow the Contractor to continue to the next
Milestone, subject to agreement of a firm remedial
plan (to be agreed between the Parties) for the non-
conforming Deliverables to be corrected so that it
meets the Acceptance Testing Criteria; or
(C)
issue an interim confirmation letter with an IAR
fixlist setting out the outstanding actions and agreed
timescales for the remedial plan, subject to Clause
5.9.6 below.
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5.9.3 TOR and BOS:
In the event of failure by the Contractor to pass the Acceptance Testing /Acceptance
Criteria with respect to IARs for TOR-NAFIS, Scottish Livescan and BOS, the
provisions of this Clause 5.9.3 shall apply as follows:
(a)
if, following no more than two re-performances of the relevant Acceptance
Event, the Acceptance Event (or any part thereof) still fails the Acceptance
Testing Criteria set out in this Schedule (as applicable), then the Authority
shall, at its sole discretion have the right to, and without prejudice to any
other rights or remedies available to the Authority under the Contract:
(i)
request that the Contractor remedy, replace or perform the
Acceptance Event again, as applicable and repeat the evaluation
under the Acceptance Testing Criteria; or
(ii)
allow the Contractor to continue to the next Milestone, subject to
agreement of a firm remedial plan for the non-conforming
Deliverables to be agreed between the Parties;
(iii)
issue an interim Certificate of Acceptance (“Interim Acceptance
Certificate”) with an IAR fixlist setting out the outstanding actions
and agreed timescales for the remedial plan, subject to Clause 5.9.6
below.
(iv)
Subject to the expiry of the Liquidated Damages period in Clause 17
of Schedule B (Conditions of Contract), reject the relevant
Deliverable(s) and terminate the Contract in accordance with Clause
43 of Schedule B (Conditions of Contract). For the avoidance of
doubt, such termination under this Clause 5.9.3 shall be a termination
for a material Default by the Contractor.
5.9.4 EOS1:
In the event of failure by the Contractor to pass the Acceptance Testing /Acceptance
Criteria with respect to EOS1, the provisions of this Clause 5.9.4 shall apply as
follows:
(a)
if, following no more than two re-performances of the relevant Acceptance
Event, the Acceptance Event (or any part thereof) still fails the Acceptance
Testing Criteria set out in this Schedule (as applicable), then the Authority
shall, at its sole discretion, have the right to, and without prejudice to any
other rights or remedies:
(i)
request that the Contractor remedy, replace or perform the
Acceptance Event again, as applicable and repeat the evaluation
under the Acceptance Testing Criteria;
(ii)
require the Contractor to implement fully (within the timescales
agreed by the Parties) any solutions to problems identified during the
Transition period of IDENT1 development which the Parties agreed
to defer until the IAR associated with the EOS1 Transition Milestone
(or beyond), such obligations being collectively known as the
"IDENT1 Fix List".
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(iii)
issue an interim Certificate of Services Acceptance (“Interim
IDENT1 Acceptance Certificate”) with an IDENT1 Fixlist setting out
the outstanding actions and agreed timescales for the remedial plan,
subject to Clause 5.9.6 below;
(iv)
subject to the expiry of the Liquidated Damages period in Clause 17
of Schedule B (Conditions of Contract), reject the relevant
Deliverable(s) and terminate the Contract in accordance with Clause
43 of Schedule B (Conditions of Contract). For the avoidance of
doubt, such termination under this Clause 5.9.4 shall be a termination
for a material Default by the Contractor.
5.9.5 The issue of a Certificate of Acceptance or confirmation letter shall not prejudice any
claim of the Authority in respect of any Defects or Failures which may subsequently
become apparent or be discovered. In addition, the Parties may agree that, if the cause
for a particular occurrence is clear and the Contractor has done whatever is necessary
to ensure that such cause does nor recur, then the required Acceptance Criteria have
been achieved.
5.9.6 The Authority may issue a relevant Certificate of Acceptance or IAR confirmation
letter with resolution of some or all outstanding Defects or Failures attached as a lien
against future IARs or Acceptance Events. For instance, Minor Defects might be
more efficiently corrected and retested in a future delivery rather than retesting and
delaying the current milestone. If the Defects are not resolved, as agreed, by the time
of the future Milestone, then the Certificate of Acceptance for the future Milestone
might be withheld until they are resolved.
5.9.7 The Authority reserves the right not to issue a relevant Certificate of Acceptance or
IAR confirmation letter until some or all of the Major Defects and/or Material
Acceptance Event Failure are resolved. Successful resolution of both Major and
Minor Defects shall be agreed upon based on inspection, successful rerunning a
subset of the Acceptance Event, or successful rerunning the complete set of
Acceptance Events. For the avoidance of doubt, in the event of any Defect or Failure,
the Contractor shall be liable for all costs and delays, and the Authority shall be
entitled, unless otherwise agreed, to hold the Contractor to the original dates of the
subsequent Milestones.
5.9.8 For the avoidance of doubt, the Authority reserves the right to request all
Defects/Failures to be resolved by the date for the EOS1 Milestone.
5.10
Delay
In respect of any delay in the achievement of the IDENT1 TOR, BOS or EOS1 Milestone by
the TOR and/or BOS and/or EOS1 dates (as applicable) which is due to the Default of the
Contractor the Authority shall be entitled to claim against the Contractor in accordance with
Condition 17 of Schedule B (Conditions of Contract).
5.11
EOS1 Default
If the Services have not been accepted by the end of all extensions to the SAR6 IAR
associated with the EOS1 Transition Milestone provided in this Schedule, the Contractor shall
(except to the extent due to a Default of the Authority) be in Default under this Contract and
the Authority shall have the right to terminate this Contract in accordance with Condition 43
of Schedule B (Conditions of Contract).
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5.12
Failure to Remedy
In the event that any elements of the IDENT1 fixlist have not been remedied by the backstop
date(s) agreed following Acceptance of Services at EOS1, the Authority shall be entitled to
seek a commensurate permanent reduction to the Services Charges.
5.13
Dispute Resolution
In the event of any dispute or disagreement in relation to any aspect of Acceptance, the
Parties shall immediately escalate such issue in accordance with the agreed escalation
procedures set out in Schedule P (Dispute Resolution Procedures).
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6
NATIONAL LIVESCAN SERVICES
6.1
The legacy NAFIS Livescan service contracts (198), NAFIS Livescan pilots (9) and IDENT1
Scotland Livescan service (41) have previously been accepted in accordance with the
applicable NAFIS or IDENT1 acceptance criteria and are accepted with the effect of
CCN010.
6.2
Save for 6.1 above, National Livescan Services sites will be accepted upon confirmation of
installation by completion of the National Livescan Services Installation Checklist as set out
in Table 6.2.1.
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6.2.1 National Livescan Services Installation Checklist
National Livescan Services Installation Checklist
The following activities were completed and accepted in preparation for the execution of IDENT1
National Livescan Services activities at the Charge / Custody Station location identified below. The
date(s) of duration/completion, Contractor Representative’s signature, and witnessing Charge /
Custody Station Representative’s signature are present for each named activity.
Charge Station/ Custody Suite Location:
Activity
Date Performed
Contractor
Charge / Custody
Representative
Station
Representative
1. Facility preparation
______________
___________________ ___________________
work
2. Communications
______________
___________________ ___________________
installation
______________
___________________ ___________________
3. Livescan installation
4. Livescan Functional
______________
___________________ ___________________
Checkout
______________
___________________ ___________________
5. End User Training
6. Acceptance and Start of
______________
___________________ ___________________
Operations
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7
LANTERN Pilot Phase 2 – Implementation Phase
The Acceptance Procedure for the LANTERN Pilot Phase 2 – Implementation Phase is set out in the
LANTERN Pilot Phase 2 – Implementation Phase Acceptance Checklist (SAR 3 through SAR 6) in
Annex H-1.
The Acceptance Procedure for the pilot Forces include a site survey, MOU, and Go-Live Checklist as
set out in Table 7.1 below.
7.1
Pilot Force Go-Live Acceptance Checklist
The following activities were completed and accepted in preparation for the execution of IDENT1
LANTERN Pilot Phase 2 – Implementation Phase activities at the Pilot Police Force location
identified below. The date(s) of duration/completion, Contractor Representative’s signature, and
witnessing Police Force Representative’s signature are present for each named activity.
Pilot Police Force Location:
Activity
Date Performed
Contractor
Charge / Custody
Representative
Station
Representative
1. Facility
preparation work
2. Communications
installation
3. MFR provided
4. Functional
Checkout
5. End User Training
6. Acceptance and
Start of Operations
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8
Acceptance Procedure for IDENT1 Services for UKvisas
The Acceptance Procedure for the IDENT1 Services for UKvisas will take place in accordance with
the provisions of this Schedule H. However, the document review and acceptance timescales for the
IDENT1 Services for UKvisas are set out in Clause 5.4.1(i) above. All acceptance events will occur
on Fairfax, Virginia test beds and will not include the User Test Bed (UTB). End-to-end testing
between test beds in Fairfax and the UKvisas system in the UK will be conducted as may be agreed.
Functionality specifically introduced as part of the IDENT1 Servcies for UKvisas will not be included
on the User Test Bed (UTB). UKvisas shall have the right to attend Acceptance Events that relate to
the IDENT1 Services for UKvisas at their own expense.
The Standard Acceptance Reviews (SARs) are as follows:
•
SAR1 - The UKvisas SRR constituted the acceptance activity for SAR1 for the
UKvisas capability.
•
SAR2 - The UKvisas PDR constitutes the acceptance activity for SAR2 for the
UKvisas capability.
•
SAR3 Design Review
•
SAR4 Product Verification Review
•
SAR5 Product Acceptance Review
•
SAR6 Operational Acceptance Review.
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ANNEX H-1
ACCEPTANCE AND TRANSITION MILESTONES
The tables below show the Transition Milestones, as identified in Schedule G (Transition), and the
IARs that will have been successfully completed in order to achieve the milestone.
The IARs for a given Transition Milestone relate to those elements of the Services to be operationally
deployed at that milestone.
For each IAR within a given Transition Milestone, currently identified Acceptance Event(s) are listed.
The Acceptance Events identified are not comprehensive (for example, PARs which do not relate to a
specific Transition Milestone in Schedule G (Transition) are not listed) and will be subject to
agreement between the Contractor and the Authority during the preceding stage of the project.
However, as a minimum, they will include the Acceptance Events detailed below.
The Use Cases and other Requirements listed for each Transition Milestone indicates the scope to be
covered by the associated IAR(s).
Transition Milestone
Programme Initiation
IARs
Acceptance Events
Milestone Transition
Checklist
PAR – Programme Initiation Review
•
Programme
•
Issues and risks are
Initiation Review
discussed
and
This review covers the Contractor’s approach
presentation event
recorded
to:
complete
• Management Methods
•
PIR minutes have
been delivered
• Service Delivery
•
Documentation has
• Requirements Management
been delivered in
accordance
with
• Development
Schedule
O
• Test & Acceptance
(Documentation).
•
Scope
of
development
projects agreed.
•
Quality
Management
System established.
Applicable Use Cases/Requirements
Not Applicable.
Transition Milestone
TOR-NAFIS
IARs
Acceptance Events
Milestone Transition
Checklist
•
•
•
PAR – Continuity of Service Review
•
Validation
by
means of an OAV
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This review covers TOR-NAFIS and SARs 1, 2, 3,
of the criteria set
4, 5 and 6 do not apply.
out
in
section
2.3.1 above
Applicable Use Cases/Requirements
NAFIS requirements as of start of TOR-NAFIS and all Use Cases to set the scope.
Transition Milestone
Scottish Livescan
IARs
Acceptance Events
Milestone Transition
Checklist
SAR3 – Outline Design Review
•
System
design •
ICD
approved
review.
(Livescan
to
This review covers Scottish Livescan.
SAFR).
•
Updated
Data
Model reviewed if •
Scope of testing
applicable.
agreed.
•
Identify
and •
Documents
review
updated
and
requirement set.
reviewed as per
Schedule
O
•
Detailed Business
(Documentation).
Process
Model
and task analysis •
Scottish Livescan
agreed.
as
detailed
in
Schedule
H
•
Updated
(Acceptance
Development
Procedures),
plans reviewed if
section 2.3.2.
applicable.
•
Performance
•
Ability to capture
Model Reviewed
Palm images.
if applicable.
SAR4 – Product Verification Review
•
Testing of ability •
Acceptance
test
to search print sets
environment
This review covers Scottish Livescan.
against the ten-
established.
print
and
unidentified mark •
Validation of user
manuals
and
collections
of
training materials.
SAFR.
•
Training
Plan
agreed.
•
Approval
of
acceptance
tests
documentation.
•
Documents
updated
and
reviewed as per
Schedule
O
(Documentation).
•
Traceability
of
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global functional
and
non-
functional
requirements
to
Test Cases.
•
Traceability
of
Use
Cases
to
derived
requirements
to
Test Cases.
SAR5 – Product Acceptance Review
•
ORR.
•
Type approval of
IDENT1 Scottish
This review covers Scottish Livescan.
Livescan units.
•
MOUs agreed.
•
Deployment plan
agreed.
•
Scottish
Users
trained in use of
Livescan
unit,
including
palm
capture.
•
Documents
updated
and
reviewed as per
Schedule
O
(Documentation).
SAR6 – Operational Acceptance Review
•
Validation
by •
New
IDENT1
means of an OAV
Livescan
unit’s
This review covers Scottish Livescan.
of the criteria set
installed,
tested
out
in
section
and operational at
2.3.2 above.
current
Scottish
Livescan locations
that have not been
replaced
by
1
April 2005, with
the remainder of
the new IDENT1
Livescan units to
be installed not
later than 30 April
2005.
•
MOU’s signed off
•
Review
against
Schedule
F
(SLR).
•
Review
of
training
effectiveness
in
accordance
with
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the Training Plan.
•
Documents
updated
and
reviewed as per
Schedule
O
(Documentation).
Applicable Use Cases/Requirements
Use Cases 1, 2 and 3
Transition Milestone
Palm Searching
IARs
Acceptance Events
Milestone Transition
Checklist
SAR1 – Lifecycle Objective Milestone Review
•
Use Case Model •
Glossary review
review
This review covers full IDENT1 capability.
•
Project
risks
identified
•
Validation of requirements
•
Development
plans scoped and
•
Scope of development project agreed
reviewed
•
Identification
of
test criteria for
•
Requirements allocated to development •
System
each requirement.
projects
requirement
review
•
Documents
•
Test criteria for requirements agreed
updated
and
•
Initial Data Model
reviewed as per
review
Schedule
O
(Documentation).
•
Initial
Business
Process
Model •
Requirements
review.
allocated
to
development
projects.
•
Test criteria for
requirements
agreed.
•
Project
Configuration
Control
Board
established.
•
Test
and
Development
facilities
established.
•
Service
Management
capability
operational
including Service
Desk,
User
support
and
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installation
and
management
support.
SAR2 – Lifecycle Architecture Milestone Review
• Updated
•
System
Architecture
Architecture risks
This review covers full IDENT1 capability.
Model reviewed.
mitigated.
This review precedes SAR3 for Pre-BOS
Checkpoint Transition Milestones.
• Updated
Data •
Review
of
Model reviewed.
requirement
changes.
•
Updated
Development
•
System
plans reviewed.
architecture
stable.
• Performance
Model Reviewed.
•
System
design
aligned
with
Authority's
IT
strategies
and
policies.
•
Documents
updated
and
reviewed as per
Schedule
O
(Documentation).
SAR3 – Outline Design Review
•
System
design •
Updated
review.
Development
This review covers Palms.
plans reviewed.
•
Updated
Data
Model reviewed.
•
Documents
updated
and
•
Identify
and
reviewed as per
review
Schedule
O
requirement set.
(Documentation).
•
Detailed Business • Palm
data
Process
Model
exchange format
and task analysis
agreed
(based
agreed.
upon
•
Scope of testing
ANSI/NIST).
agreed.
•
Performance
Model Reviewed.
•
Usability Trials.
SAR4 – Product Verification Review
•
Testing the ability •
Acceptance
test
to capture and
environment
This review covers Palms.
search palms.
established.
•
Training
Plan
agreed.
•
Approval
of
Acceptance tests
documentation.
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•
Documents
updated
and
reviewed as per
Schedule
O
(Documentation).
•
Traceability
of
global functional
and
non-
functional
requirements
to
Test Cases.
•
Traceability
of
Use
Cases
to
derived
requirements
to
Test Cases.
SAR5 – Product Acceptance Review
•
Testing the ability •
FPOs trained for
to capture and
palm searching.
This review covers Palms.
search palms.
•
Validation of user
manuals
and
training materials.
•
Deployment plan
agreed.
•
Documents
updated
and
reviewed as per
Schedule
O
(Documentation).
SAR6 – Operational Acceptance Review
•
Validation
by •
Successful rollout.
means of an OAV
This review covers the Palms.
in accordance with •
Ability to capture
and search palms
the Schedule O
from any installed
(Documentation)
Bureau
in
Acceptance Event
England, Scotland
Report.
or Wales.
•
Scanners
upgraded,
as
required.
•
National
palm
searching enabled.
•
Encoding
of
existing National
Palm
collection
completed.
•
Local
palm
collections
encoded,
if
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appropriate.
•
Review
against
Schedule
F
(SLR).
•
Review
of
training
effectiveness
in
accordance
with
the Training Plan.
•
Documents
updated
and
reviewed as per
Schedule
O
(Documentation).
Applicable Use Cases/Requirements
Use Cases 4, 6, 7, 9, 15, 12, 13, 14
Transition Milestone
Multi-registration Capture and Store
IARs
Acceptance Events
Milestone Transition
Checklist
SAR3 – Outline Design Review
•
System
design •
Updated
review.
Development
This review covers the capture and storage of
plans reviewed.
multiple Print Sets per identity registered and •
Scope of testing
processed on IDENT1
agreed.
•
Documents
updated
and
reviewed as per
Schedule
O
(Documentation)
.
SAR4 – Product Verification Review
•
All Use Cases •
Acceptance
test
tested
in
environment
development
established.
environment.
•
Training
Plan
agreed.
•
Approval
of
Acceptance tests
documentation.
•
Documents
updated
and
reviewed as per
Schedule
O
(Documentation).
SAR5 – Product Acceptance Review
•
ORR.
•
Validation of user
manuals
and
•
Deployment plan
training materials.
agreed.
•
Documents
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updated
and
reviewed as per
Schedule
O
(Documentation).
Applicable Use Cases/Requirements
All
Transition Milestone
Pre-BOS Checkpoint
IARs
Acceptance Events
Milestone Transition
Checklist
SAR3 – Outline Design Review
•
Identify
•
Documents
requirement set to
updated
and
be
verified
at
reviewed as per
BOS.
Schedule
O
(Documentation)
.
SAR4 – Product Verification Review
• Scotland capability •
Approval
of
Factory Acceptance
Acceptance tests
Testing
documentation.
•
Search
fusion
capability Factory
Acceptance
Testing
SAR5 – Product Acceptance Review
•
Scotland
• Plans exists for
capability ORR.
deployment of
Scotland
•
Deployment plan
Capability
agreed.
• Search
fusion
•
BOS
checklist,
capability
which
describes
present.
all the activities
necessary
to
• BOS checklist
complete the BOS
documented
milestone, agreed.
and
updated
with
current
status
• Traceability of
requirements to
be verified at
BOS.
Applicable Use Cases/Requirements
Those relating to the Scotland capability
Transition Milestone
BOS
IARs
Acceptance Events
Milestone Transition
Checklist
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SAR3 – Outline Design Review
•
System
design •
Updated
review.
Development
This review covers IDENT1 full capability for
plans reviewed.
Scotland, migration of ORACLE at Central and •
Updated
Data
the Bureaux, Service Continuity Capability
Model reviewed.
•
Documents
Sagem Algorithm primary and any other new
updated
and
capabilities required by the Authority for BOS •
Identify
and
reviewed as per
(provided such required new capabilities are
review
Schedule
O
agreed by the Parties in accordance with Change
requirement set.
(Documentation).
Control), and as such services and capabilities •
Detailed Business
are identified in Schedule G (Transition).
Process
Model
National Livescan Services for Channel Isles
and task analysis
(Jersey) are excepted from BOS.
agreed.
•
Scope of testing
agreed.
•
Performance
Model Reviewed.
SAR4 – Product Verification Review
•
Testing the SAFR •
Acceptance
test
capability.
environment
This review covers IDENT1 full capability for
established.
Scotland, migration of ORACLE at Central and • Factory testing of
the Bureaux, Service Continuity Capability
the transition of •
Scottish weeding
Sagem Algorithm primary and any other new
databases
to
rules
capabilities required by the Authority for BOS
Oracle software.
implemented.
(provided such required new capabilities are
agreed by the Parties in accordance with Change •
Factory testing of •
Training
Plan
Control), and as such services and capabilities
the
Service
agreed (Scotland).
are identified in Schedule G (Transition).
Continuity
Capability.
•
Approval
of
National Livescan Services for Channel Isles
acceptance
tests
(Jersey) are excepted from BOS
•
Factory testing of
documentation.
the
SAGEM
primary algorithm. •
Documents
updated
and
•
Factory testing of
reviewed as per
any relevant new
Schedule
O
capabilities
(Documentation).
required by the
Authority for BOS •
Traceability
of
global functional
(provided
such
and
non-
required
new
functional
capabilities
are
requirements
to
agreed
by
the
Test Cases.
Parties
in
accordance
with •
Traceability
of
Change Control),
Use
Cases
to
and
as
such
derived
services
and
requirements
to
capabilities
are
Test Cases.
identified
in
Schedule
G
(Transition).
SAR5 – Product Acceptance Review
•
Operational
•
MOUs agreed.
readiness review
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This review covers IDENT1 full capability for
prior to SAFR • Permanent
Scotland, migration of ORACLE at Central and
decommissioning.
Glasgow Bureau
the Bureaux, Service Continuity Capability • Deployment plan
established.
Sagem Algorithm primary and any other new
agreed.
capabilities required by the Authority for BOS
•
Bureaux systems
provided
for
(provided such required new capabilities are •
Operational
Aberdeen,
agreed by the Parties in accordance with Change
readiness
Edinburgh
and
Control), and as such services and capabilities
validation prior to
Dundee.
are identified in Schedule G (Transition).
cutover to Sagem
primary
National Livescan Services for Channel Isles
•
Scottish Bureaux
algorithm.
(Jersey) are excepted from BOS
staff trained on
IDENT1 system.
•
Documents
updated
and
reviewed as per
Schedule
O
(Documentation).
SAR6 – Operational Acceptance Review
•
Validation
by •
Successful rollout
means of an OAV
confirmed by each
This review covers IDENT1 full capability for
of the criteria set
force by signed
Scotland, migration of ORACLE at Central and
out
in
section
MOU.
the Bureaux, Service Continuity Capability
2.3.3 above
Sagem Algorithm primary and any other new
•
Legacy
SAFR
capabilities required by the Authority for BOS
data migrated to
(provided such required new capabilities are
IDENT1 to form
agreed by the Parties in accordance with Change
part of Unified
Control), and as such services and capabilities
Collection.
are identified in Schedule G (Transition).
•
Scotland to access
National Livescan Services for Channel Isles
legacy system for
(Jersey) are excepted from BOS
audit and MIS
data and access
IDENT1 for day 1
forward audit and
MIS data
•
Business
continuity
provided
for
Scotland.
•
Review
against
Schedule
F
(SLR).
•
Review
of
training
effectiveness
in
accordance
with
the Training Plan.
•
Documents
updated
and
reviewed as per
Schedule
O
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(Documentation).
Applicable Use Cases/Requirements
All
Transition Milestone
EOS1-Provisional
IARs
Acceptance Events
Milestone Transition
Checklist
SAR3 – Outline Design Review
•
Identify
and •
Demonstration
review
facility of UIEs
This review covers usability of IDENT1 and any
requirement set.
established
other new capabilities required by the Authority
for EOS1-Provisional (provided such required •
Outline Business •
Scope of usability
new capabilities are agreed by the Parties in
Process
Model
trials agreed.
accordance with Change Control), and as such
and task analysis
services and capabilities are identified in
agreed
and •
Updated
Schedule G (Transition).
Development
presented.
plans reviewed.
•
Performance
of
the UIEs.
•
Documents
updated
and
reviewed as per
Schedule
O
(Documentation).
SAR4 – Product Verification Review
•
Testing
of •
Acceptance
test
finalized UIEs.
environment
This review covers usability of IDENT1 and any
established.
other new capabilities required by the Authority
for EOS1-Provisional (provided such required
•
Approval
of
new capabilities are agreed by the Parties in
usability
tests
accordance with Change Control), and as such
documentation.
services and capabilities are identified in
Schedule G (Transition).
•
Documents
updated
and
reviewed as per
Schedule
O
(Documentation).
•
Training
Plan
agreed.
•
Training materials
approved.
•
Traceability
of
global functional
and
non-
functional
requirements
to
Test Cases.
•
Traceability
of
Use
Cases
to
derived
requirements
to
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Test Cases.
SAR5 – Product Acceptance Review
•
Deployment plan •
Deployment
of
agreed.
new
PC
This review covers usability of IDENT1 and any
workstations
other new capabilities required by the Authority •
ORR
for EOS1-Provisional (provided such required
•
Upgrades to mark
new capabilities are agreed by the Parties in
scanners.
accordance with Change Control), and as such
services and capabilities are identified in
•
Replace tenprint
Schedule G (Transition).
scanners
at
selected bureaux
as
needed
to
support
operational
maintenance
activities.
•
Training for users
on new Bureau
HCI.
•
Livescan training
carried
out
at
initial two forces.
•
Documents
updated
and
reviewed as per
Schedule
O
(Documentation).
SAR6 – Operational Acceptance Review
•
Validation
by •
Successful rollout
means of an OAV
to
all
bureaux
This review covers usability of IDENT1 and any
in accordance with
except
as
the
other new capabilities required by the Authority
the Schedule O
parties
may
for EOS1-Provisional (provided such required
(Documentation)
otherwise agree.
new capabilities are agreed by the Parties in
Acceptance Event
accordance with Change Control), and as such
Report.
•
Rollout of new
services and capabilities are identified in
Livescan software
Schedule G (Transition).
to
initial
two
forces
•
•
Documents
updated
and
reviewed as per
Schedule
O
(Documentation).
Applicable Use Cases/Requirements
All
Transition Milestone
EOS1
IARs
Acceptance Events
Milestone Transition
Checklist
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PAR – BRC Completion Review
•
Data
integrity
checks as deemed
This review validates that all expected data is
appropriate.
available.
PAR – Business Continuity Review
•
Business
Continuity Plan is
This review covers business continuity for the
in
place
as
whole IDENT1 services
detailed
in
Schedule
O
(Documentation)
and plans have
been tested.
SAR6 – Operational Acceptance Review
•
Operational
•
User Satisfaction
evaluation.
Survey.
This review covers IDENT1 full capability to
validate that the system is running successfully.
•
Validation
by •
All system design
means
of
an
documents
OAV
of
the
agreed.
criteria set out in
section
2.3.4 •
Service transition
above.
complete.
•
Stable operation
as provided in the
four (4) weekly
EOS1 metrics set
reviews
unless
otherwise agreed
by the authority...
•
All functionality
deployed
under
the
IDENT1
Services
except
as the parties may
otherwise agree.
•
Review
of
training
effectiveness
in
accordance with
the Training Plan.
•
Documents
updated
and
reviewed as per
Schedule
O
(Documentation)
Applicable Use Cases/Requirements
All
Transition Milestone
EOS2
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IARs
Acceptance Events
Milestone Transition
Checklist
This
review
covers
the
EOS2
Timing IAR As set out in the
•
IAR
Closure
Requirements as described in Annex G-5 EOS2 Timing
Minutes
(Description of EOSn Milestones)
Requirements as
described in Annex G-
5 (Description of EOSn
Milestones)
Other Milestone Activity
IARs
Acceptance Events
Milestone Transition
Checklist
PAR – Periodic Interface Review
•
Operations and integrity
of
external
interfaces
Covers PNC, PIFE and other key interfaces.
reviewed and tested as
agreed from time to time
between the Authority
and the Contractor.
PAR – Progressive Improvement Review
•
Search
Accuracy
Benchmark at BOS+90
Covers search accuracy
days validates accuracy
targets
in
accordance
with Schedule F (Service
Level Requirements).
PAR – Progressive Improvement Review
•
Search
Accuracy
Benchmark at BOS +
Covers search accuracy
1year validates accuracy
targets
in
accordance
with Schedule F (Service
Level Requirements).
PAR – Progressive Improvement Review
•
Search
Accuracy
Benchmark at BOS+4
Covers search accuracy
years validates accuracy
targets
in
accordance
with Schedule F (Service
Level Requirements).
PAR – Security Accreditation Review
•
Accreditation
in
accordance
with
Covers security requirements
Schedule K (Security).
PAR – Scotland Palms BRC
•
TBD
Milestone
LANTERN Pilot Phase 2 – Implementation Phase
Acceptance Checklist
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Milestone
LANTERN Pilot Phase 2 – Implementation Phase
Acceptance Checklist
SARs
Evidence
Acceptance Events
SAR3 – System Design Review
Confirmation that the design
Critical Design Review
has been reviewed and is
appropriate, approval of any
architecture changes & req
clearly identified
SAR3 - Detailed Business Process Completed as part of Lantern Describes Business Process
Model and task analysis
CONOPS
changes
SAR 3 - Scope of testing for Included in Critical Design Scope agreed in CDR brief
Lantern is defined.
Review
SAR 3 - Performance Model Include in Design Review for Performance review provided
Reviewed
Lantern
at CDR.
SAR 3 - Build Readiness Build Readiness Review Minutes from meeting to
Review
for CCN - Lantern
approve deployment to ATB.
SAR 3 Closure Review
Joint
Authority/Contractor Minutes from meeting
meeting
SAR 4 - Test Readiness Review Testing the Release
Test Readiness Review Brief
and agreement to go to
Acceptance Test
SAR 4 Closure Review
Joint
Authority/Contractor Minutes from meeting
meeting
SAR 4 - User Manual for Lantern
Delivery of User Manual
Evidence of development of
user manual.
SAR 4 - Test Procedures
Delivery
of
RVTM Approval of Test Procedures
showing
mapping
of by Authority
requirements
to
test
procedures in an Appendix
SAR 4 - Test Readiness Review
Delivery of the Test Readiness
Report
Review briefing.
SAR 4 - Test Readiness Review
Delivery of minutes from the
minutes
Test Readiness Review
SAR 5 - Testing Lantern
Acceptance Testing
Written confirmation by the
Authority of the successful
completion
of
Acceptance
Testing as per appropriate test
documentation for Lantern.
SAR 5 - ORV
At conclusion of Acceptance ORV Brief to include summary
testing, summarizing the test of test results, SCR generated
results
during
the
test
and
the
summary
of
requirements
satisfied during the test.
SAR 5 - ORR
ORR minutes .
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Milestone
LANTERN Pilot Phase 2 – Implementation Phase
Acceptance Checklist
SAR 5 - Users trained on
Evidence of approval of any
Lantern.
updates to end-user Manuals
and training materials and
training plans in place.
SAR 5 - SAR Closure Review
Joint Authority/Contractor Minutes from meeting
meeting
SAR 5 - Test Summary Report
A test summary report will be Evidence of the completion
provided for Lantern.
and Authority approval of test
summary report for Lantern.
SAR 6 - Validation by means of
The Acceptance Event Report
an OEV in accordance with the
as described in Schedule O.
Schedule O (Documentation)
Acceptance Event Report.
SAR 6 - SAR Closure Review
Joint Authority/Contractor Minutes from meeting
meeting
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LANTERN Service Expansion
Milestone
Acceptance Event
Evidence
A review of any changes from Completion of the Incremental
the design agreed to in the CDR meeting, acceptance of
Incremental CDR
LANTERN Pilot CDR under the presentation materials and
CCN009.
minutes
The ORR and ORV have been
held. The delivery of any
Operational
Readiness
documents required for the
Validation
and
Operational ORR and ORV held.
ORV
and
ORR
are
not
Readiness Review
prerequisites for completion of
the event.
MFRs have been shipped to the
Start of Deployment
first Force as identified by the
Authority.
One half of the total quantity of
MFRs to be deployed have been
50%
Completion
of
shipped to their respective
Deployment
Forces as identified by the
Authority.
All MFRs to be deployed (not
including spares) have been
Completion of Deployment
shipped to the Forces as
identified by the Authority.
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