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Windows Hardware Certification Program Policies and Processes for Windows Server

January 2017

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

© 2017 Microsoft. All rights reserved.

Windows Hardware Compatibility Program Policies and Processes

Copyright

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All other trademarks are property of their respective owners.



ContentsGeneral Policies..........................................................................................................7

Legal agreements....................................................................................................7Essential agreements............................................................................................7

Trusted Extended Verification (EV) Cert Requirement.............................................8Product naming for WHCP Submission.....................................................................8

Naming restrictions...............................................................................................8Marketing name....................................................................................................8Product name details............................................................................................9

Product types.........................................................................................................11Submission Types..................................................................................................11Reseller submissions.............................................................................................11Driver update acceptable (DUA)............................................................................12Windows Server Catalog Product listing expiration...............................................13Additional Features and Additional Qualifications..................................................13Symbol files...........................................................................................................16Post-initial qualification requirements...................................................................16Qualification and support obligation lifetime.........................................................16

General WHCP testing policies.................................................................................18General testing and retesting................................................................................18Windows and HLK updates requirement................................................................20Merging test results into a single submission or project........................................20Product family testing............................................................................................22

Definition of family..............................................................................................22Components and peripherals..............................................................................22Determining when to consider a group of devices as a separate family.............22Server System Express Family Certification........................................................25Server Storage Express Family Certification.......................................................28



Testing policies.........................................................................................................32Components and peripherals.................................................................................32

Testing devices with multiple connectivity.........................................................32Signature-only components................................................................................32

10Gb/sec and Faster NICs......................................................................................32Rationale for Private Cloud Simulation................................................................32Overview of the Private Cloud Simulation tool....................................................33

Nano Server Device and Driver..............................................................................33Summary.............................................................................................................33Further information.............................................................................................33

Non-Discoverable Device retesting and submission..............................................35Baseboard Management Controllers (BMCs) or Similar Devices.........................35

Para-virtualization drivers......................................................................................36Server Systems......................................................................................................38

Windows Hardware Compatibility Program qualified components......................38Acceptable device changes for Windows Server without resubmitting...............38Digital signature policy for systems....................................................................39Systems and the use of Signature-only components..........................................39Server system with signed driver via Driver Signing Services (a.k.a. Attested

Drivers).............................................................................................................39Up-level and down-level WHCP policies for Windows Server versions.................40Product Type Groups...........................................................................................40Run Server tests on physical hardware...............................................................41

UEFI configuration for system WHCP.....................................................................43UEFI system required for Windows Server 2016 device testing.............................43

UEFI and Server systems testing.........................................................................43Windows Server Active Branch Testing..................................................................44[Future] Azure Stack Solution Certification and Re-Certification Guidance............45

Overall Guidance:................................................................................................45Minimum and Maximum Solution Testing:..........................................................45



Solution Changes:...............................................................................................46Refreshing HDD/SDD’s:.......................................................................................46Switches:.............................................................................................................46In Box Drivers:.....................................................................................................46

Definition of Terms for Azure Stack Solutions........................................................46Resolve test failures.................................................................................................47

Errata.....................................................................................................................47Submission readme...............................................................................................47

Windows HLK support...............................................................................................48



IntroductionWelcome to the Windows Hardware Compatibility Program (WHCP). This document contains the business policies to prepare products for

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

General Policies

Legal agreementsParticipation in the WHCP requires a company to have signed an effective Logo License Agreement (LLA) and Windows Compatibility Program Testing Agreement (WCPTA). All Compatibility submission activity requires that these agreements are on file. Typically, participants are required to renew these agreements once a year. All legal agreements that are related to the Windows Hardware Compatibility Program are executed through the Hardware and Desktop dashboard on the Windows Developer Center. Legal agreements are located under the Administration menu.

Essential agreementsWindows Certification Program Testing Agreement v1.0 - This agreement includes language that is related to testing procedures, testing policies, intellectual property rights, support requirements, audit policies, payment policies, indemnification, warranty, liabilities, confidentiality, term and termination, metadata, and digital rights management (DRM) clauses. Signing this agreement is required for participation in the program.Windows Logo License Agreement for Hardware 2017 - This agreement includes specifications for logo artwork usage, license grants and restrictions, indemnification clauses, disclaimer of warranty, and limitation of liability statements. This agreement is required to submit any product for Windows Compatibility or driver signing.New versions of the Windows Compatibility Program Testing Agreement and Windows Logo License Agreement will be posted for signature before Windows 10 1607 and Windows Server 2016 submissions begin.


http://go.microsoft.com/fwlink/?LinkID=251915&clcid=0x409


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

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

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

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


https://msdn.microsoft.com/en-us/library/windows/hardware/hh801887.aspx


Product name details Participants may not submit products on behalf of a third party without

explicit permission from both Microsoft and the third party for which the product is being submitted for.

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

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

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

If a product exists in a series of devices within the same class of device, the product name must include a model name or number that uniquely identifies that individual device or system. This requirement prevents confusion with other products found in our product catalogs and or Windows Compatibility Products list.For example: A name like “Laserprint series" can't be used as the product name of a laser printer series because it is too generic in nature. "Laserprint series model 5003" and "Laserprint 2893" are examples of an acceptable series name.

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

The product name can't include any marketing slogans or tag lines.For example: “LaserPrint 5, the greatest invention since sliced bread”.

The product name must not infringe upon Microsoft trademarks, unless explicitly approved for use by Microsoft.

Similarly, Product Names must not include trademarks or copyrights of 3rd party companies, organizations, groups, etc.



Products may not have either non-alphabetical leading character(s) of the Product Name, or all numbers for the Product Name. To avoid confusion with certified products, “Other” products can't use the same

Product Name as certified products. Other naming practices that are prohibited:

Multiple “Product Names” in one Product Name Text like “cost charged by XYZ team”, etc. that is related to the test or

submission processes Information that is unnecessary in the Product Name…

o Number of portso Number of PCIe laneso PCIe versiono Speeds and Feeds – Gb or GB/sec, GTransfer/sec, GHz, etc.o Core countso Socket countso Memory sizes, memory types DDR3, DDR4, etc. but also various

types of NVRAMo Physical layer using terms like copper, fiber, optical, radio, etc.o ACRONYMS

RoHS – Restriction on Hazardous Substances, and similar for EU, etc.

“QSFP”, InfiniBand SDR, DDR, QDR, FDR, EDR, HDR, NDR, etc.

o Protocols or Specifications the Product supports, such as “Ethernet”, Fiber Channel”, etc.

o Vendor name as part of the Product Name

Product typesThe Windows HLK implements feature-based testing. The test harness detects all of the features of the device that interoperate with Windows and schedules testing for all implemented features. The WHCP process evaluates all of the exposed features of the device, rather than only a subset of features.This approach has a definite advantage when the device being tested does not fit neatly into a defined category or exposes multiple functions. For example, a device may connect in many different ways. Each method represents a testable feature.



These connectivity features don't contribute to the definition of product types, but are expected to be tested as an exposed feature.Tests are grouped into product types rather than categories, which provide qualified product with a label that is appropriate for cataloging.When a device is tested, the kit identifies any product types that the device is eligible to claim in the catalog. If more than one product type matches the features that a device exposes, you may choose what product type best describes the device.

Submission TypesReseller submissionsThe Reseller Submission Policy allows companies that purchase a qualified product from a manufacturer to resell said product as their own and also list the product in the Microsoft catalogs and Windows Compatibility Products List under their specific brand. Resellers may repackage and relabel the purchased device or system and maintain the right to display any Microsoft trademarks and or logo’s. Resellers must sign the Microsoft Logo License Agreement in order to claim qualified rights for the resold product. A reseller submission is considered a child of the original resold submission. A dependency exists on the parent submission and therefore, reseller submissions fall under the qualification status of the parent, reseller submissions are not required to submit new test logs. Therefore, if the parent submission fails an audit, Microsoft reserves the right to revoke the qualified status of any reseller submissions dependent upon the parent submission.If any changes are made to the device firmware and or device driver package that alters the original functionality not tested in the parent submission, it is considered a new submission and a new submission must be made and approved for the product to be considered qualified. The following restrictions exist for any products that are submitted as a reseller submission: The reseller can't change the hardware and or software when relabeling or

repackaging the product, except for branding or splash-screen changes to identify the product under the new company name.

The distribution rights of the original driver submission remain with the owner of the original submission.

If a reseller wants to control the software distribution for its product over Windows Update, the reseller must perform the following steps:



1. Revise the Plug and Play Identifier (PnP ID) of the product to include the sub-vendor ID.

2. Submit a Driver Update Acceptable (DUA) Submission on the Developer Center containing the information (.inf) file that reflects the new PnP ID.

If a reseller wants to change the firmware and or driver binary for a device, a new initial device submission must be made (with full HLK test results .hlkx log).

All reseller submissions are subject to audit by Microsoft Corporation. A peripheral device (connected device) whose primary function is independent of

a Windows system, but functionality of the device is evaluated by the Windows HLK using a client system running Windows: Changes that don't affect the interaction between the device and the system running Windows or affect the applicable requirements for the peripheral device are not considered grounds for a peripheral device resubmission for qualification.

For more information: See Manage Hardware Logo Submission in Dashboard Help.

Driver update acceptable (DUA)Driver Update Acceptable (DUA) submissions are allowed for an already approved driver package submission. A DUA submission may include only changes to the following file types: .txt, .htm, .rtf, .chm, .hlp, .inf, .icm, .jpg, .bmp, .cpl, .pdf, .mht, or txtsetup.oem.New Plug and Play (PnP) identifiers may be added to the information (.INF) file as part of these updates, provided that they meet the family policies.Device driver binary changes are not allowed (binaries such as .sys and .dll).

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

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

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





Additional Features and Additional QualificationsAn Additional Feature (AF) is an optional, “If Implemented” feature or functionality of the product that is automatically detected by the HLK, has one or a few Requirements specific to the functionality, one or more Tests of that specific functionality, which validate correct operation. Examples would be Reliability Counters for storage media, or IPSec Offload for a network adapter.An Additional Qualification (AQ) is also optional, but usually requires greater or more significant investment by the vendor to comply, is often not automatically detected by the HLK, and may involve multiple functions and features, which will be validated by Tests. An example for Devices and Drivers would the Nano Server Capable AQ. An example for a System would be the Hardware Assurance AQ. List of AFs and AQs, including what Req’ts are involved. Additional AFs and AQs may be added in the future as the need to provide information to end Customers dictates. As well, AFs and AQs may be retired as Windows Server operating system versions reach the end of Extended Support Phase.

Product Type Feature Requirement Optional AQs and AFs

Devices and Drivers - Network, Storage, Filter, USB, Other

Device.DevFund.Server.CommandLineConfigurable

Device.DevFund.Server.Nano.Deployment

Device.DevFund.Server.Nano.Diagnostics

Device.DevFund.Server.Nano.FirmwareUpdate

Device.DevFund.Server.Nano.MonitoringAndTelemetry

Device.DevFund.Server.Nano.OperateInServerNano

Device.DevFund.Server.Nano.PatchAndUpdate

Nano Server Capable

HDD and SSD

Device.Storage.Hd.Scsi.ReliabilityCounters.BasicFunction Reliability Counters

Device.Storage.Hd.Ehdd.Compliance Self-Encrypted

Device.Storage.Hd.Trim.BasicFunction Trim

Device.Storage.ControllerDrive.NVMe

Device.Storage.Hd.Sas

Device.Storage.Hd.Sata

Note – for SAS and SATA devices, the “If Implemented”, i.e., optional, sections related to Firmware Download and Activate must be supported in order for the Firmware Update Capable Additional Qualification to be awarded.

Firmware Update Capable



NVMe Device.Storage.ControllerDrive.NVMe.BasicFunction NVMe

LAN (Server)

Device.Network.DevFund

Device.Network.LAN.Base

Device.Network.LAN.ChecksumOffload

Device.Network.LAN.LargeSendOffload

Device.Network.LAN.10GbOrGreater

Server NIC Product Type

LAN - Additional Features

Device.Network.LAN.RSS.RSS

Device.Network.LAN.RSS.SetHashFunctionTypeAndValue

Device.Network.LAN.RSS.SupportIndirectionTablesSizes

Device.Network.LAN.RSS.SupportToeplitzHashFunction

Device.Network.LAN.RSS.SupportUpdatesToRSSInfo

RSS

Device.Network.LAN.SRIOV.SRIOV

Device.Network.LAN.SRIOV.VF.VFSR-IOV

Device.Network.LAN.VMQ.VirtualMachineQueues VMQ

Device.Network.LAN.DCB.DCB DCB

Device.Network.LAN.GRE.GREPacketTaskOffloads GRE

Device.Network.LAN.IPsec.IPsec IPSec

Device.Network.LAN.KRDMA.KRDMA KRDMA

Device.Network.LAN.MTUSize

Device.Network.LAN.RSC.RSC RSC

Server System

System.Server.Assurance.EnhancedPlatformIntegrity Hardware Assurance

System.Server.PowerManageable.ACPIPowerInterface

System.Server.PowerManageable.PerformanceStates Enhanced Power Management

System.Server.PowerManageable.RemotePowerControl

System.Server.FaultTolerant.Core Fault Tolerant



Storage Array

Device.Storage.Hd.RaidArray.Manageability

Device.Storage.Hd.RaidArray.Manageability.Smapi

Device.Storage.Hd.RaidArray.Manageability.Smi

Device.Storage.Hd.RaidArray.Manageability.Smi.Ctp

Device.Storage.Hd.RaidArray.Manageability.Smi.Scvmm

Storage Manageability

Device.Storage.Hd.Mpio.BasicFunction MPIO

Device.Storage.Hd.OffloadedDataTransfer.CopyOffload Offloaded Data Transfer (ODX)

Device.Storage.Hd.ThinProvisioning.BasicFunction Thin Provisioning (ThP)

Storage Controller

Device.Storage.Controller.BootDeviceGreaterThan.BasicFunction Boot 2.2TB+ Disk Volume

Device.Storage.Controller.Raid.ContinuousAvailability.* High Availability Capable

iSCSI iSCSI Interface

Device.Storage.Controller.Fc.NPIV.BasicFunction N-Port ID Virtualization

Storage Spaces Adapter

Device.Storage.Controller

Shared Spaces is not an AF or AQ, but is a Product Type

Device.Storage.Controller.Flush

Device.Storage.Controller.PassThroughSupport

Storage Spaces Drive

Device.Storage.Hd

Shared Spaces is not an AF or AQ, but is a Product Type

Device.Storage.Hd.DataVerification

Device.Storage.Hd.Flush

Device.Storage.Hd.MultipleAccess

Device.Storage.Hd.MultipleAccess.PersistentReservation

Device.Storage.Hd.PortAssociation

Device.Storage.Hd.Scsi.ReliabilityCounters

Storage Spaces Enclosure

Device.Storage.Enclosure.DirectAccess Shared Spaces is not an AF or AQ, but is a Product TypeDevice.Storage.Enclosure.DriveIdentification



Symbol filesWe strongly recommend that partners submit the symbol files for their drivers, including and especially those products that don't match a defined Product Type. The symbol files help in the crash analysis and improve telemetry and feedback. Symbols are particularly helpful for Signature-only drivers, where it is unclear what the function of the device or driver may be. The absence of symbol files can result in incomplete or wrong analysis. It's acceptable to submit public symbols that don't detail the driver's functioning but still allow bucketing of crash failures bucketing and meaningful telemetry for partner analysis. The more detailed the provided symbols are, the better the analysis can be and the more accurate information the telemetry services will provide to you.

Post-initial qualification requirements

Qualification and support obligation lifetimeWith qualification comes a commitment to the Windows Server end Customer of product support for the reasonable lifetime of the product. The WHCP provides services to make this commitment possible through access to field telemetry and the ability to certify driver fixes and deliver them to Windows Server end Customers. This policy clarifies the expected lifetime and support levels for qualified products.An important part of the Windows Server value is the assurance that an investment in a product has a meaningful lifetime. Windows Server end Customers expect that their purchases will continue to work if they upgrade to a new operating system. Each release of the Server operating system works with devices that are designed to the standards of the previous release of the operating system, at least in a deprecated fashion. Products that are submitted to the Windows Certification Program are expected to support the next operating system, though this is not a requirement. The device or driver may not be able to meet new increased standards and functionality of the new operating system. Those increased standards are often related to security and reliability and are thus important for Windows Server deployments. This is why there is a policy that drivers are only certified for the Windows Server operating system Long Term Servicing Branch version for which they are tested. For Current Branch for Business releases, kernel drivers are not required to be retested for each release. At a minimum, the device should work in the new Server operating system version with functionality that is equivalent to the functionality that was demonstrated in the previous Server operating system version.Extended support is typically a commitment that companies make to enterprise buyers.


http://www.microsoftlicensereview.com/?tag=windows-long-term-serviicing-branch



The WHCP aligns with the Windows release and support schedules. Our commitment to supporting products ties to the milestones for end of sales, end of mainstream support, and end of extended support of the operating system. This information is available on the Windows lifecycle fact sheet.The overall product support lifecycle defines three phases for the Windows Server certification program.

Phase Program supports Time frame

Release to Manufacturing to end of OEM sales of the Windows Server operating system

Server systems, devices and drivers that are certifiable or signable for the Server operating system

System certification retires when the Windows Server operating system can no longer be sold preinstalled.

To end of Windows Server Mainstream Support

Devices and drivers that are certifiable or signable for the Windows Server operating system

Device and driver certification retires at the end of Extended Support Phase

To end of Server Extended Support

Devices and drivers that are certifiable or signable for the Windows Server operating system

Device and driver certification retires at the end of Extended Support Phase

General WHCP testing policies

General testing and retestingEach device submission must include test logs generated by the Hardware Lab Kit (HLK) and corresponding device drivers. Devices that use drivers shipped as a part of the Windows image provided by Microsoft (signed by Microsoft build systems) must be tested as part of qualification for WHCP. Drivers included as a part of the Windows image provided by Microsoft are not to be included in the submission package. To maintain WHCP certification and/or qualification status, the product must retest if the product and/or components of the product change. Each system submission must include test logs generated by the HLK. The WHCP specifically applies to hardware firmware and/or BIOS that was installed and tested on the




system. To maintain WHCP qualification status, the product must retest if the product and/or components of the product change. Generally, the requirement for retesting of drivers, devices and systems or other products is shaped by these guidelines;

For ‘cosmetic’ or branding changes - no retesting is requiredFor hotfixes that only fix a problem – no retesting is required

For any significant change, retesting is required. A change is considered “significant” if it similar to any of the following;

A new feature or function has been added to the product. Examples: A RAID storage controller adds support for a new RAID level, such as RAID 6A network adapter adds support for a new physical layer, such as fiberA filter driver adds new filtering functionalityA system adds support for a new memory type or architecture

A previously unsupported OS Feature or function is now supported by the product. Examples:

Support by a storage adapter and driver for the FW Update FeatureSupport by a network adapter and driver for Receive Side CoalescingSupport by a filter driver of a previously unsupported functionSupport of a system for WHEA (Windows Hardware Error Architecture)

Any change that improves the performance of the product. Reason – there are going to be changes at the software, firmware or hardware level(s) needed to make improved performance possible

Any change that improves the scalability of the product. Reason – there are going to be changes at the software, firmware or hardware level(s) needed to make improved scalability possible

Any new transport, protocol, interface, bus or industry standard supported by the product. Examples – 1) FCoE vs iSCSI, 2) SAS vs SATA, 3) PCI vs PCIe, 4) PCIe v2 vs PCIe v3, 5) DDR3 vs DDR4, 6) 1000Base-TX vs 1000Base-SX vs 1000Base-LX, etc. Reason – again, there are certainly going to be changes at the software, firmware or hardware level(s) needed to support changes like the above

Any change to the PnP or Power functionality of device or system requires retesting. Reason – there are going to be changes to the product at the software, firmware or hardware level(s) needed to change the PnP or Power functionality of the product



Silicon chipset size reductions (die shrinks) are allowed, provided that, per the ID definitions at this link, https://msdn.microsoft.com/en-us/library/windows/hardware/ff546262(v=vs.85).aspx and the Specification for Use of PCI IDs with Windows Operating Systems, the following ID codes are unchanged, no functionality is added or modified, and the drivers are unchanged. If the die shrink affects other certification requirements, such as S3 resume time, the device requires a full retest and resubmission.

v(4) is the four-character PCI SIG-assigned identifier for the vendor of the device, where the term device, following PCI SIG usage, refers to a specific PCI chip.d(4) is the four-character vendor-defined identifier for the device. s(4) is the four-character vendor-defined subsystem identifier. n(4) is the four-character PCI SIG-assigned identifier for the vendor of the subsystem.r(2) is the two-character revision number.c(2) is the two-character base class code from the configuration space.s(2) is the two-character subclass code.p(2) is the Programming Interface code.

For details, refer to the Component and peripherals and/or Server systems sections below as they relate to this policy.Testing for Windows Server submissions of all types must be done using the Long Term Servicing Branch operating system version for which the device, kernel driver, system or other product is to be Certified. For Current Branch for Business releases, kernel drivers are not required to be retested and resubmitted for each of these releases. However, for further information see the “Windows Server Active Branch Testing” section.

HLK Compatibility Program PlaylistThe Windows Hardware Compatibility Program uses an official list of tests (playlist) to determine which devices adhere to the WHCP requirements for compatibility with Windows 10.The latest playlist can be downloaded from http://aka.ms/hlkplaylist


http://aka.ms/hlkplaylist




http://download.microsoft.com/download/1/6/1/161ba512-40e2-4cc9-843a-923143f3456c/pciidspec-11.doc

http://download.microsoft.com/download/1/6/1/161ba512-40e2-4cc9-843a-923143f3456c/pciidspec-11.doc

https://msdn.microsoft.com/en-us/library/windows/hardware/ff546262(v=vs.85).aspx

https://msdn.microsoft.com/en-us/library/windows/hardware/ff546262(v=vs.85).aspx


When a new playlist is announced and released, adoption is optional for 90 days. The playlist must be adopted within 90 days post release and the previous playlist will no longer be acceptable for new compatibility submissions for Current Branch for Business releases.

Windows and HLK updates requirementThe HLK that is released with the Long Term Servicing Branch of the Windows Server operating system is archived and usable for the life of the operating system version to achieve Certification. The latest officially released Current Business Branch HLK must be used to generate test results for submissions of products seeking an Additional Qualification for Windows Server related to functionality or features added to, or required for, a subsequent Current Branch for Business Windows Server operating system release.

Merging test results into a single submission or projectSome partners may want to split testing across projects, controllers, or even physically separated labs. Under certain conditions outlined below, the Windows 10 HLK environment now allows for completed projects for different platforms and operating systems to be merged into a single submission package, as long as the project is for the same system, filter, or device.To help clarify the value of this feature, we offer the following example:

A company has multiple labs focused on testing one of their latest devices for Windows Compatibility.

The company has a lab in Detroit, U.S.A that only tests devices running earlier versions of Windows.

The company also has a lab located in Taipei City, Taiwan and its sole focus is testing compatibility for devices installing in Windows 10.

Each lab is testing the same device for different versions of Windows. Up until now, the labs have had to generate their own HLK projects and submit their results to the Dev Center individually.

This new feature allows the company to merge the HLK test logs into a single project. HLK test logs from lab A may now be merged with HLK test logs from lab B to create a single project relevant for Windows 10 and earlier versions of Windows.

This allows the company to create a single project with relevant results from Windows 10 and earlier versions into a single submission for all of the operating systems and architectures tested in its various labs.





In addition to combining completed .hlkx files per operating system and the architecture, it's possible to test portions of a single-product submission across different projects (even from different controllers) and merge the test results into a single submission package. Such "deep merged projects" allow testing of components that require expensive setups to run in a special lab. They also allow teams that are responsible for different subcomponents of a single product to be responsible for their testing of their feature.The rules for deep-merged project testing are:

The targets must be for the same operating system and architecture. The Targets must be the same type (that is, System or Device). You cannot deep merge software filter types. The distinct set of features for all targets under a target family must match

the distinct set of features in the target family from the merged package. All distinct set of tests for all targets under a target family must match the

distinct set of tests in the target family from the merged package. (For device target types): the set of drivers must match. (For device target types): the set of hardware Ids must match. (Note: this

means that device families are not taken into consideration when matching hardware Ids)

For additional information on merging in the HLK please see the help documentation in the HLK.

For device and driver submissions for earlier versions of Windows Server, the submission must include test results from the relevant test kit for that operating system version. See the instructions at https://msdn.microsoft.com/en-us/library/windows/hardware/mt613525(v=vs.85).aspx, or the successor thereto, for details on how to make such submissions.

Product family testingDefinition of familyA product family is a set of devices that expose the same functionality or a subset of functionality and would interoperate with Windows in exactly the same manner.

Tested Representative


https://msdn.microsoft.com/en-us/library/windows/hardware/mt613525(v=vs.85).aspx

https://msdn.microsoft.com/en-us/library/windows/hardware/mt613525(v=vs.85).aspx


A device that contains a conglomeration of all the supported features within a defined product family must be the "tested representative" for the family. Any functionality that deviates from the “tested represented” must have HLK test logs available that validate that the deviated feature meets WHCP policy. All products that are considered a subset of the most fully featured product must meet all WHCP requirements to be considered compliant with the WHCP.

Components and peripheralsThe WHCP requires that each family, or fully featured “tested representative” device for each family, be tested and submitted to Microsoft, regardless if the same driver binaries are used. Every defined family must have unique HLK test logs in their submission. In the case where device families share a common .INF file, the devices associated with the PnP IDs that belong to the different family must be tested along with the “tested representative” of the family under test, or the PnP IDs must be removed / commented out of the .INF file prior to submission.

Determining when to consider a group of devices as a separate familyEvaluate each device that the driver supports. If any of the following conditions apply, create a new family:

If a device uses a different device class, Peripheral Component Interconnect (PCI) class and subclass, or vendor ID (VID).

If a device uses different driver binaries or uses a separate INF file. If a device has different firmware. If a device supports different bus protocols. If multiple protocols are

supported, such as SCSI, Internet SCSI (iSCSI), or Fibre Channel, these protocols must be tested separately and are considered separate families.

If a device supports different media or drive types. If a device supports multiple protocols, media, and drive types, each

combination must be tested separately and are considered separate families. If a device or driver adds support for different or additional features that are

“If Implemented” and not required for Compatibility or Certification.

There are some exceptions to these rules. The following devices have additional characteristics to classify families.

South Bridge SATA and ATA/ATAPI controller familiesControllers that are integrated into a South Bridge chipset must support the same base logic. If the driver supports an add-in controller, the add-in must be tested as a separate family device.



RAID controller, iSCSI adapter, and Fibre Channel adapter familiesControllers that have identical core BIOS code and ASIC firmware are tested as a single family. String changes to the BIOS code are allowed between family members. If the BIOS code or firmware is updated, another family submission is required.

RAID system and RAID JBOD familiesThe number of controller modules within the same family may differ.Controller hardware and firmware must be the same for a particular family.If the controller hardware or firmware is virtual (consists of only software), any major revision of this software for added functionality (such as bus speed) requires a new family group.Non-multipath or non-Microsoft Multipath I/O (MPIO) drivers: A complete RAID system test must be completed against each RAID system device that is included in the INF file.Third-party multipath and Microsoft MPIO driver implementations: A scaled test procedure is available to test multiple families. For more information, see the corresponding section of the multipath test procedure. This scaled test procedure does not grant base qualification or compatibility to these additional subsystems.

GPU familiesGraphics processing units (GPUs) that don't support the same major Microsoft DirectX revisions are in different GPU families.Here are some DirectX revision examples: GPU A supports DirectX 10 and GPU B supports DirectX 10.1 = same GPU family. GPU A supports DirectX 9 and GPU B supports DirectX 10 = not the same GPU

family. GPU A supports DirectX 10 and GPU B supports DirectX 11 = not the same GPU

family. GPUs that are not manufactured by the same company are part of different GPU

families. For example, GPU from Vendor A and GPU from Vendor B (any DirectX revisions) = not the same GPU family.

Additional notes, clarifications, and processesAlthough it's possible to test multifunction devices by using the family rules described previously, be aware that the resulting compatibility might cause some



confusion in the catalog and marketplace. The highest set of features is associated with the submission, so a catalog listing where a particular sought-after feature isn't included in all devices in the family could be confusing.For example, in a multifunction family submission, if the highest-functioning device used several connectivity pathways, but some of the subset family members did not include all of the connectivity pathways, the catalog listing might be confusing. There's currently no way for the WHCP to handle this listing issue.Device drivers often support more than one device, such as a printer driver that supports 10 different models of printers, or a display driver that supports 25 different PnP IDs. To assure quality, we recommend that vendors test every device that a particular driver supports.We recognize that in a particular device category, there are cases where testing a model that is the most fully featured, or one that is physically and electrically identical to another model, offers no increase in test coverage. In these cases, conducting an additional test pass for WHCP would not expose any additional hardware or driver flaws.In an effort to simplify and reduce the amount of testing that is required to achieve a WHCP on every hardware/driver combination, the following rules apply to your device testing coverage plan. Devices that are considered equal to each other are a family of devices. A particular driver may have 100 unique PnP IDs in the INF file, but after you apply these device-testing policies, you may find that only 10 devices must be tested to achieve full test coverage for your device/driver combinations.

Server System Express Family Certification

SummaryThe Windows Server 2016 System Hardware Express Certification Process allows Windows Server system models which are nearly identical to a fully populated and tested representative model to achieve certification status by successfully passing a reduced set of core hardware and firmware tests.

Process StepsFor a collection of server models of similar designs (“the family”), a full certification of one, fully populated, representative model of this family for Windows Server 2016 is required. The additional system family members are “other” systems.A “Family” of Server systems are those systems which have: A chipset that is the same across all the system family members A BIOS and Firmware Major and Minor Version numbers that are the same across

all the system family members The same number of processors (sockets)



The processors are all of the same vendor, family and model across all the system family members

The memory type is the same across all the system family members, e.g., DDR3 vs. DDR4

The family is indicated in SMBIOS information per the below guidance across all the system family members

For each of the “other” members of this family, a certification run of only those HLK tests required (listed below) for the Server System Express Family certification process is required. This testing is required for the initial submission of the “family”, or if different systems are submitted at different times, the first time the family member system is submitted after the representative sample is submitted. For each member of this family being certified through this reduced testing approach, the initial and following submissions must include: HCKX, PDF and TXT files explaining this is a partial submission for Express Family

Certification The Submission ID of the fully tested representative product system

NOTE – the errata for this purpose must be referenced Each submission of “other” systems (in item above) will undergo a manual

review and pass according to the above parameters.NOTE – Systems submitting for Express must have info per SMBIOS specification indicating membership in a “family”. Type 1, System Information, Family is the preferred location for this information. Server System Family Express will not be applied to Windows Server 2012 R2 and earlier versions.

Required Testing of the “Other” Server Family Members for all SubmissionsNote that not all the tests below apply for all Server systems. Those systems which do not support Bitlocker, TPM, SecureBoot, Assurance will not run those tests, or they will be scheduled, but automatically pass. Those Server systems that support enhanced power management must manually select the test as before.

Test Name and ApplicabilityEst. Test Time (min)

System Fundamentals

BitLocker Drive Encryption USB BIOS Test 2

BitLocker TPM and Recovery Password tests for non-AOAC devices for legacy PCRs 15

BitLocker TPM and Recovery Password tests for non-AOAC devices with PCR(7) 15



BitLocker TPM+Pin+USB and Recovery Password tests for non-ARM devices 15Boot From USB (Server) 15

Boot Test (System) 5Crashdump Support Test (LOGO) 45

Debug Capability Test (LOGO) 20Disk Stress (SYSTEM) 90

Processor Power Management 1SecureBoot Logo Test 10

SecureBoot Manual Logo Test 90Signed Driver Check 5

System - PNP (disable and enable) with IO Before and After (Reliability) 1

System - Sleep with IO Before and After (Reliability SysFund) 3TPM 1.2 TCG OS Interface Server Test 2

TPM 1.2 UEFI Preboot Interface Test 10TPM 2.0 - Clock Tests 20

TPM 2.0 - Cryptographic Operations and RNG 15TPM 2.0 – Functional 120

TPM 2.0 - Hardware Interface 50TPM 2.0 - NV Storage, Policy, Error Handling and Attestation 120

TPM 2.0 - Raw Mode Commands 20TPM 2.0 – Reliability 240

TPM 2.0 - Required Security Patches Tests 40TPM 2.0 - Self Test 30

TPM 2.0 – Stress 240TPM 2.0 - Supplemental test 10

TPM 2.0 TCG Physical Presence Interface 1.2 Test (CoreSystem) 10TPM 2.0 UEFI Preboot Interface Test 10

TPM Attestation Test 10TPM Based Virtual Smart Card Interface Test 10



TPM Extend Operation Performance 5

TPM KSP Custom Property Test 15TPM Platform Crypto Provider Key Storage Provider Test 10

TPM Win32_TPM Class Test 10UEFI Tpr Test 20

xHCI Debug Capability Compliance (Logo) 15

Server System TestsAssurance AQServer Power Enabled 10

Verify IOMMU presence and configuration 2Verify processor virtualization support 2

Verify virtualized environment 2WHEA 30

Server Storage Express Family Certification

SummaryThe Windows Server 2016 Storage Hardware Express Family Certification process allows the Product Type Device.Storage.Storage.Hd.RaidArray storage products that are nearly identical to a fully populated and tested representative model to achieve certification status by successfully passing a reduced set of tests.

Required Tests Criteria for ExpressTests for items that operate independently of the transport/protocol, HBA, driver or operating system will not be required for Express testing of “other” product family members. Examples; ODX, ThP, RAID, TrimFeatures or functions of the storage product that DO depend on transport/protocol, HBA, driver or operating system functionality are required to be tested for this Express program. Examples; MPIO, etc.Complete testing of the ‘representative sample’ of a family of storage array products is required in order to allow Microsoft to relax the testing needed for the other products of the same familyThe "representative sample" must be the largest and most complex configuration of the 'family'.



A “Family” of storage products are products which have the same firmware Major and Minor version numbers and utilize the same internal components and versions of firmware and software

For each of the “other” members of this product family, a certification run of only those HLK tests required for the Server Storage Express Family certification process is required. This testing is required for the initial submission of the “family”, or if different storage products are submitted at different times, the first time the storage product family member is submitted after the representative sample storage product is submitted. Thereafter, no testing is req’d of the “other” family member storage products as long as the representative storage product is tested for any change that requires resubmission and the family member storage product(s) continues to meet all the criteria for being in the family, outlined above and detailed below. For these follow-on submissions, in order to propagate the relevant product information to the Submission Details section of individual storage product entries in the Catalog, use the Marketing Name process to populate that info. Note – do NOT submit a storage product using this Marketing Name process if the changed values for version info have NOT been completed for that “other” storage product and the changes are not available to end Customers.

Testing or retesting will be req’d if there are any version changes of all Microsoft supported transport protocols; FC, FCoE, iSCSI, SAS, SATA, for the storage product family, or if a Microsoft supported transport protocol is added to the storage product family feature set.

Testing will be req’d if there are any version changes of all Microsoft supported features ODX, ThP, etc. and RAID, MPIO, etc. for the storage product family, or if a Microsoft supported transport protocol is added to the storage product family feature set.

Testing will be required if any new media type is supported by the storage product family. Examples: For HDDs that might be changing from 512-byte sector to 4K sector [Advanced

Format], or some later enhancement or technology For SSDs, that might be change from SLC to MLC to TLC, etc., OR, change from

Flash to MRAM, FeRAM, RRAM, PRAM, etc.

New “Minor” FW Version of the array requires retesting, defined as follows: First identifier = Major version is increased when there are significant jumps in

functionality such as changing the framework which could cause incompatibility with interfacing systems or products.



Second identifier = Minor version is incremented when only minor features or significant fixes have been added

Third or following identifiers = Revision number(s) are incremented when minor bugs are fixedNote – typically, a new Minor version will be required to support a new transport protocol, feature, or media, so this is not expected to be a major contributor to the number of retests

Testing will be required for any Major or Minor version changes of, or additions to, SMI-S support of the array, again, after the initial submission, only for the representative sample storage product.

The Process StepsFor a collection of storage products of similar designs (“the family”), a full certification and submission of the largest or most complex member of the family must be done with one fully populated, representative model of this “most complex” product for Windows Server 2016 is required.

For each of the other members of this product family, a certification run and submission of only those HLK tests required for the Server Storage Family Express certification process is required for the initial submission.For each member of this family being certified through this reduced testing approach, a submission would include: HCKX, PDF and TXT files explaining this is an Express submission for a specific

product Family The Submission ID of the fully tested product

NOTE – the errata for this purpose, Storage Family submission, must be referenced

Each Express submission will undergo a manual review and pass (i.e. be Certified) according to the above parameters.

Required Testing of the “Other” Storage Family Members for Initial Submission

Test Name and applicability

Estimated Test Time

ALUA MPIO Test (LOGO) If Applicable ~5BDE WLK Test ~30



The following are run If Applicable to the productiSCSI Target Digest Test (Disk) (LOGO) ~40iSCSI Target iSNS Test (LOGO) ~10iSCSI Target Mutual CHAP Test (LOGO) ~5iSCSI Target Oneway CHAP Test (LOGO) ~5iSCSI Target Ping Test (LOGO) ~5Multipath I-O Test (LOGO) If Applicable ~180Multiport Disk Performance Test (LOGO) If Applicable ~10Persistent Reservation Test (LOGO) ~5Read Capacity 16 Unit Test - SCSI Compliance Test ~5SCSI Compliance Test 2.0 (LOGO) ~5

NOTE – there is no plan for Server Storage Family Express Certification process for previous Windows Server operating system versions.

Testing policies

Components and peripheralsTesting devices with multiple connectivityTest a multiple connectivity device by connecting the device to a client through all available pathways that the device supports. After a device is identified as the testing target, the device's multiple connectivity is detected and treated as features, minimizing the number of tests that must be run.

Signature-only componentsSignature-only components refer to a device and driver that have unique functions for which the HLK has no function-specific tests. As a result, the device driver can receive a Digital Signature without having to meet the full Windows Hardware Compatibility Program requirements. In most cases, the driver is submitted in the



Developer Portal as an “Other” device submission. Devices submitted in the Developer Portal as a device category of “Other” are considered Signature-only components.

10Gb/sec and Faster NICsRationale for Private Cloud Simulation

Private cloud solutions are usually comprised of tightly integrated software and hardware components in order to deliver a resilient private cloud with high performance and availability.

Issues w/ devices and drivers often surface only in a high-stress, cloud-scale deployment

These issues are often hard to expose and isolate using traditional “functional” tests of a single device, component or system

Private Cloud Simulator is a cloud validation test suite that enables you to validate your component in a cloud scenario and identify these types of issues

Overview of the Private Cloud Simulation tool PCS is designed to scale up to 64 nodes performing both planned operations

and injecting unplanned events or errors. PCS simulates a live datacenter/private cloud by creating VM workloads,

simulating planned data center operations (load balancing, migration, SW/HW maintenance), and injecting simulated unplanned HW/SW failures.

PCS seamlessly handles the scale and complexity of operations in a cloud scenario and uses a Microsoft SQL Server back end to record data during the run.

PCS then presents a report that includes operation pass rates and failures/logs, providing the capability to correlate data among operations that ran.

All drivers for NICs operating at 10Gb or higher that implement any of the new features of Windows Server 2016 (i.e., NDKPI 2.0, VMMQ, VxLAN Task Offload, NVGREv2 Task Offload, MTU for HNV, PacketDirect) must also pass the PCS (Private Cloud Simulator) test with the ’Basic 10 GigE NIC’ profile on a 4-node clustered configuration



Nano Server Device and Driver SummaryWindows Server 2016 includes the installation option “Nano Server” which provides significant benefits to Server Customers in the areas of reduced attack surface accessible to malicious code, reduced number of reboots for Critical or Important security or reliability fixes, and improved density and resource utilization. Default testing for Windows Server 2016 for devices and drivers takes place using the Server Core installation option, but vendors may optionally test for support of Nano Server as well.

Further informationServer Core will be the default environment for Server 2016 device and driver testing, same as for 2012 R2. Nano Server testing is optional for devices/drivers vendors that wish to have their products listed as having the “Nano Server Capable” Additional Qualification.

Device Categories that can be tested on Nano are: HBA and driver HDD, SSD or other storage media [NVMe, etc.] that have a driver Note - Storage media w/ no driver do not need to test on Nano Server NIC and driver USB and driver Filters – ELAM, AV, etc. “Other” products that do not have a defined Product Type

Devices/Drivers that wish to be awarded the Nano Server Capable AQ … Must run the Nano Server INF and APIScan tests Drivers will be required to install on Nano Drivers will be tested to ensure they work in Nano Server

Devices/Drivers that meet the relevant Requirements and pass the associated Tests will be displayed as “Nano Server Capable” in Catalog for end Customers.

Summary of the Testing Flow … Run tests on Server Core Server Core test validates environment



Run Device Fundamentals tests Run Device-specific tests Run Nano-specific test(s) to check API usage, INF, etc.

Nano Server Details about the Systems needed for testing … HLK Client SUT for DUT includes the Device or Driver being tested Nano Server System w/ Identical Device or Driver These must be physical systems that both contain the same adapter and

driver being tested The Nano Server System is where testing for Device Install and Recovery

Console takes place

Additional informationSetup and Configure Info for Server Core and NanoServer Core

Deploy a Server Core Server - https://technet.microsoft.com/en-us/library/jj574135.aspx

Configure a Server Core Server - https://technet.microsoft.com/en-us/library/jj592692.aspx

Install Server Roles and Features on a Server Core Server - https://technet.microsoft.com/en-us/library/jj574158.aspx

Manage a Server Core Server - https://technet.microsoft.com/en-us/library/jj574205.aspx

Service Updates on a Server Core Server - https://technet.microsoft.com/en-us/library/jj574100.aspx

Quick Reference for Server Core Tasks - https://technet.microsoft.com/en-us/library/jj592694.aspx

Nano Server Getting Started with Nano Server,

https://technet.microsoft.com/en-us/library/mt126167.aspx

Tests and Tools APIScan: http://blogs.technet.com/b/nanoserver/archive/2015/11/16/native-

binary-scanning-tool-nanoserverapiscan-exe-for-nano-server.aspx INF Verifier:

https://msdn.microsoft.com/en-us/library/windows/hardware/dn929319(v=vs.85).aspx and https://msdn.microsoft.com/en-us/library/windows/hardware/dn941087



Management and Automation, https://technet.microsoft.com/en-us/library/mt126171.aspx covering Server Mngr, Remote Server Admin Tool, PowerShell

PowerShell, https://msdn.microsoft.com/en-us/powershell/mt173057.aspx WMI, https://msdn.microsoft.com/en-us/library/aa384642(v=vs.85).aspx and

https://msdn.microsoft.com/en-us/library/windows/desktop/aa394582%28v=vs.85%29.aspx

Non-Discoverable Device retesting and submissionBaseboard Management Controllers (BMCs) or Similar Devices BMCs or similar devices must be tested and resubmitted if the following changes are made to the Product;

IPMI Major or Minor version change BMC Minor (or Major) version change Change of any processor/microcontroller in the BMC product Addition of any supported external communications path or interface Addition of any supported internal communications path or interface Change to the operating system communications path or interface Change to, or addition of, any security functionality of the BMC; encryption,

authentication, restricted remote access, privilege levels, random number functionality, callback for security, firmware firewall, etc.

Para-virtualization driversPara-virtualization drivers are device drivers in a virtual machine instance of the Windows operating system that represent hardware and functionality similar to, but not necessarily identical with, the underlying physical hardware that the system virtualization software layer uses.For example, the physical network interface adapter that is installed in the system can be either presented or abstracted to the virtual instances of Windows. The para-virtualization driver emulates a network adapter, but it's not necessarily the same network adapter as the physical device.The Windows Certification Program qualifies device and driver combinations according to the Windows Hardware Certification Requirements and the relevant tests. The Hardware Dashboard accepts para-virtualization driver submissions by using the current testing guidelines. These drivers are tested, submitted, signed, granted certification, or displayed in the relevant catalog through existing device driver procedures. Specifically:



The submitted para-virtualization driver must emulate the same functionality that is required of physical devices and their associated drivers. This includes installation, Advanced Configuration and Power Interface (ACPI), PnP, and other functionality, as described in the respective Windows Hardware Certification Requirements.

A submission of a para-virtualization driver may occur only for the version of the Windows Server operating system that is used for testing as a virtual instance. In addition, a submission of a para-virtualization driver may occur only for the platform version of the Windows Server operating system that is used for testing as a virtual instance—specifically, the x64 platforms.

The para-virtualization driver must be tested in accordance with the test requirements that are relevant to the Windows operating system version for which the para-virtualization driver is being submitted. For example, server storage and networking drivers must be tested on a system that has a minimum of 4 processors and 6 gigabytes (GB) of memory installed. The submitted storage or networking para-virtualization driver must be tested in a virtual machine instance of Windows that has 4 processors and 6 GB of RAM represented, if the virtualization product supports those capabilities. In testing storage and networking para-virtualization drivers, if the virtualization product can't support a Windows virtual instance of 4 processors and 6 GB of RAM, the testing should occur with the maximum processor count that is supported by the virtualization product for a Windows Server virtual instance, and with the maximum amount of RAM that is supported by the virtualization product for a Windows Server virtual instance, not to exceed 6 GB of RAM.

Other device category requirements for the minimum number of processors and the minimum amount of memory required for testing of that device category apply, as detailed in the documentation for the test that is appropriate for that version of the Windows Server operating system.

The submitted para-virtualization driver must pass all the tests that are defined and required for the device category that the para-virtualization driver represents to a virtual instance of Windows, appropriate to that version of Windows.

The submitted para-virtualization driver that meets all the requirements and passes all the tests that are defined and required for the device category that the para-virtualization driver represents to a virtual instance of Windows will be granted certification.

If the Windows HLK exposes a feature, the feature must be tested and pass to receive a signature. In the earlier Windows Logo Program, it was possible to receive a signature if the device could not pass the full requirements of a category. In the current Windows Certification Program, all exposed feature must pass testing.

No submitted para-virtualization drivers may use the universal/Signature-only category for a submission if the Windows HLK exposes a feature or if a Windows Certification Program device category exists for the class of device



and driver that the para-virtualization represents to a virtual instance of the Windows operating system. If the Windows Certification Program determines that there's no suitable device category for the - driver, the universal/Signature-only category tests may be used for testing and submission. Vendors of para-virtualization drivers that the vendors believe should use the universal/Signature-only category must communicate with the Windows Certification Program and confirm that the Windows Certification Program agrees with their assertion prior to testing and submission.

The submitted para-virtualization driver that meets all the requirements and passes all the tests that are defined and required for the universal/Signature-only category will receive a Signature-only, because there's no certification for universal/Signature-only devices or drivers.

If an issue is encountered during testing of the para-virtualization driver, that issue must be resolved before a test submission occurs. Resolution can occur in the following ways: by correcting the issue; by referencing an errata ID, incident ID, or contingency ID number; or by following the process that is outlined in the Hardware Certification Program Policy for Issue Resolution.

All other Windows Certification Program policies apply to para-virtualization drivers, including policies regarding required retests, resubmissions, product naming, reseller, audit, grant of certification, and distribution.

The Windows Certification Program will cease accepting submissions of para-virtualization drivers for a specific version of Windows on the same date that submissions are no longer accepted for physical devices.

Server SystemsWindows Hardware Compatibility Program qualified componentsWHCP certified server systems must use qualified components. Component-level testing reduces the need to repeat the same testing for the system. Component features require retesting on the system level only when there's a possibility that integration issues may be exposed in the context of a completed system. Some WHCP Requirements may exceed system requirements, and systems must meet all of the WHCP requirements to obtain a WHCP qualification.

Acceptable device changes for Windows Server without resubmittingThe Windows Server Certification Program takes into consideration that not all device/firmware changes affect the interoperability of the device with other devices or with Windows Server. There are guidelines for when a retest and resubmission for Devices are necessary earlier in this document. This section does not address



Processor, Memory, Chipset, BIOS or UEFI, IO Backplane or other changes to a Server system board or system, which are addressed later in this document.With regards to what device and/or driver changes are acceptable within a certified Server system, the basic premise is that any certified device and/or driver can be exchanged for another device or driver of the same device category or Product Type that is also certified for the same operating system version, and no retesting of the Server system is required. Additionally, a device or driver of any category or Product Type that is certified or signed for the relevant version of the Windows Server operating may be added to the configuration of the certified Server system and no Server system level testing is required to maintain certification of the system product. This policy is possible because devices and drivers are tested for interoperability to prevent the sorts of problems that might arise from low level hardware resource conflicts. As an example, the several Rebalance tests for devices are specifically designed to confirm that a device can have its ow level hardware resources changed if needed due to hot add of another device in the system.

Digital signature policy for systemsDrivers tested with the HLK are signed with a Microsoft digital signature and provide a heightened level of security, reliability and compatibility with Windows. The preinstalled Windows image shipped on WHCP qualified systems must include device drivers that are digitally signed by Microsoft. All components in a system must have the functionality, meet the requirements, and pass the tests mandated for a defined product type in order to be included in a system, unless a product type does not exist for that component.

Systems and the use of Signature-only componentsSignature-only components refer to a device and driver that have unique functions for which the HLK has no function-specific tests. As a result, the device driver can receive a Digital Signature without having to meet the full Windows Hardware Compatibility Program requirements. In most cases, the driver is submitted in the Developer Portal as an “Other” device submission. Devices submitted in the Developer Portal as a device category of “Other” are considered Signature-only components. A WHCP certified system may use a Signature-only component only if the Signature-only component has unique functions for which the HLK has no function-specific tests. If a defined product type that a Windows Server end Customer would expect to find on a WHCP qualified system exists, the use of a Signature-only component that does not include all of the features expected of the component makes the system ineligible for WHCP certification. This rule applies to all systems running Windows client and server operating systems.



Server system with signed driver via Driver Signing Services (a.k.a. Attested Drivers ) Attested Drivers are not tested for compatibility using the Windows HLK and Test results are not required to be submitted as proof of compliance to WHCP requirements. Therefore, Attested Drivers are not applicable for System level WHCP qualification. Drivers signed through the Attested Driver service are signed with a different signature attribute than those drivers that pass compatibility testing in the HLK. Be advised that there is a test in the HLK that validates that WHCP compliant systems do not contain Attested Driver signed components.

Up-level and down-level WHCP policies for Windows Server versionsThe general policy is that any product that includes a kernel mode driver will not be awarded an up or down level certification for later or earlier LTSB releases. This is because the Windows Server operating system has changed, the driver may have been required to change, etc. Examples:

APIs may have been added, deprecated or even removedThe OS was compiled w/ a different version and that changes timing, path lengths, locking behavior, etc.The req’ts related to compiler and linker for device drivers may have changed. Examples;

NX Non-Paged Pool HVCI Compliance, part of which is that no memory sections can be both Write and Execute

In the past, we allowed some Device Category ‘groups’ such as HID, Storage, Print and so on to be awarded certification based on testing of the product using the new version of the OS and test kit. This policy is changed as the functionality of the LTSB operating system version may be significantly changed for those ‘groups’ of products.



Product Type Groups

Storage; HDDs, Enclosures, ArraysStorage products will NOT be allowed to have Fast Track, down-level, or up-level award of certification for Windows Server 2016. Reason – the Windows Server 2016 OS interacts more, and more significantly, with the underlying FW and functionality of Storage devices than did previous OS versions, such as Windows Server 2012 R2. Thus, testing on Windows Server 2012 R2 can’t be used for ‘up’ level award of certification, and Windows Server 2016 testing is for functionality that may not exist for products certified for previous OS versions and thus does not apply, and thus can’t be used for ‘down’ level award of certification.

SystemSystem products will NOT be allowed to have Fast Track, down-level, or up-level award of certification for Windows Server 2016. Reason – the Windows Server 2016 OS has new and significantly different functionality based on new underlying FW and HW of the system in comparison to the previous OS version, Windows Server 2012 R2. Example – while UEFI, TPM, etc. are supported on Windows Server 2012 R2, the testing of those components on Windows Server 2012 R2 can’t be used for ‘up’ level award of certification. Conversely, Windows Server 2016 testing is for functionality that may not exist for products certified for previous OS versions and thus does not apply, and thus can’t be used for ‘down’ level award of certification

Run Server tests on physical hardwareWindows Server system testing must take place with the Windows Server operating system and the respective version of Hyper-V for that operating system version directly controlling the system hardware resources.Third party hypervisor or host-based virtualization solutions can't be submitted for the Windows system certification. These solutions must be tested and submitted according to the requirements of the Server Virtualization Validation Program. For more information, see the Windows Server catalog.A Windows Server–based system is tested at the fastest (preferred) or maximum configuration of the components of the system, and must be retested whenever a significant change occurs in one of the fundamental components of the system. Those fundamental components are the processors, memory, chipset, BIOS or UEFI, and I/O.Some changes may be made to a server system without triggering a new submission. New device driver combinations (such as PCI adapters and hard disk



drives) can be substituted for device driver combinations that were included in the original system at any time, without a system resubmission, so long as the new devices and drivers are Certified or signed, as appropriate.The following changes are considered significant changes and require the modified server system to be retested and resubmitted.

ProcessorChange in architecture or CPU manufacturer.Change in number of processor sockets.Change in processor model.Change in processor speed. If the only change is clock speed, the retested

system may use the previous submitted name.Note: Test the configuration of processor cores and sockets that allows the highest clock speeds of the processor or processors in the system while populating all sockets.

MemoryChange in maximum supported RAMArchitecture changes to the memory (for example, the maximum supported

clock to access memory or the pin outs to that memory change from DDR2 to DDR3)

Note: Test memory at the highest memory clock speed that is supported on the largest memory capacity configuration of the server that supports that maximum memory clock speed, regardless of the number of memory channels or DIMM slots.

ChipsetNorthbridge or Southbridge changeProcessor integrated component changeArchitecture changes to the chipset (for example, the pin outs to that chipset

change)

BIOS or UEFIChanges to ACPI, PnP, or power management functionality. Minor BIOS changes,

such as fixes to timing issues or changes to the splash screen (the screen that appears during system startup) don't require resubmission.

I/O backplane or external chassisOEMs that want to submit systems that have multiple I/O backplane options are

not required to make submissions for each option. One submission is required—specifically, the "maximum" configuration possible for the system,



preferably a "hybrid" if available. Other options can be submitted as marketing names if required. All other relevant requirements must be met.

System boardAny physical changes to the motherboard of the test system, such as new traces

or on-motherboard components that are not devices separately tested, examples; NIC on motherboard, HBA on motherboard, graphics chip on motherboard, etc.

UEFI configuration for system WHCPWindows operating systems can be 32-bit or 64-bit, but not both simultaneously. UEFI can be 32-bit or 64-bit, but not both simultaneously. Windows Server after 2008 R2 no longer supported 32-bit version of the operating system. The architecture version of UEFI must match the architecture version of the operating system. For example, 64-bit UEFI (UEFI64) can only boot a 64-bit operating system. Windows Server 2016 still supports BIOS-based systems that are 64-bit.

UEFI system required for Windows Server 2016 device testing

Windows 2016 device certification requires that a device be tested for Windows Server 2016 on a UEFI system if the device has an EFI device driver, uses any UEFI services, or has any other dependency on UEFI functionality. If the device testing takes place on a single system, or a machine pool for distributed testing, that system, or at least one system of the machine pool, must be UEFI-enabled, version 2.3.1c or later. Note that if a distributed testing environment is set up using more than one test computer in the machine pool, not all have to be running UEFI.Distributed Test environments must meet the following requirements: At least one system used for device testing must have UEFI mode enabled

in a multisystem distributed test setup. At least one system used for each device family must have UEFI mode

enabled in a multisystem distributed test project using multiple device families.



UEFI and Server systems testing Windows Server 2012 R2 and later supports but does not require UEFI. When certifying Servers following the following rules regarding UEFI:

1. For systems that support Class 3 UEFI implementations, vendors certify and submit them as UEFI platforms.

2. For systems that support Class 2 UEFI implementations (UEFI+CSM), we encourage the vendors to certify and submit as UEFI platforms. For Windows Server 2012 R2 and later, we no longer require the Class 2 UEFI systems to certify and submit twice, once for legacy BIOS mode and the other for UEFI mode.

3. For systems that support legacy BIOS implementations, vendors certify and submit them as they are.

Windows Server Active Branch TestingAll testing and submission for Certification is done using Long Term Servicing Branch (LTSB) versions of the Windows Server operating system and HLK. If the product must be retested and resubmitted as it has changed in line w/ the guidance in the “General testing and retesting” section earlier in this document, then in order for the product to maintain its Certification, and possibly to get a new signature from Microsoft, the product must be retested using the LTSB version of the Server OS and the HLK, However, in those cases where:

there is operating system functionality added only to the CBB release that is required to enable the vendor’s hardware, firmware or software, AND

there is an HLK Feature, as well as associated Logo Requirements and HLK Tests relevant to the hardware, firmware or software, AND

the product meets the other criteria for an “Additional Qualification”, THEN vendors may optionally run, but if run must pass, the tests scheduled or

selected for their product by the appropriate version of the HLK and CBB operating system

this will cause the appropriate Additional Qualification to be awarded and displayed for the product in the Windows Server Catalog

In those cases where the vendor has opted to test their product using a CBB version of the Windows Server operating system and HLK for an Additional Qualification, and the product must be retested and resubmitted as it has changed in line w/ the guidance in the “General testing and retesting” section earlier in this document, then in order for the product to maintain its Additional Qualification, it must be



retested using the most recent CBB version of the Windows Server operating system and the HLK and resubmitted.

[Future] Azure Stack Solution Certification and Re-Certification GuidanceThe following section describes possible future guidelines and requirements for testing Azure Stack solutions. This program is currently restricted to a set of partners that were announced by Microsoft in April of 2016. Microsoft intents to expand the program in the future.

Overall Guidance:Components and servers used in Azure Stack solution must first pass Windows Server certification. The certification and re-certification rules that apply to Windows Server as detailed previously in the document apply to Azure Stack. Certification and validation of Azure Stack solutions has two basic testing phase that require testing the minimum and maximum scale of the solution for certification using the appropriate PCS – Solution profile test and using Validation as a Service. NOTE: Servers and components that pass Azure Stack certification will not be listed in the Windows Server catalog. Solutions will be listed in the Validated Solution Catalog.

Minimum and Maximum Solution Testing: These guide lines apply to the servers that comprise a solution.Component Testing Policy

Servers The minimum and maximum number of servers for the solution (ex. 4-server and 16-server solutions) with the minimum memory required for Azure Stack (256GB) and the minimum CPU for Azure Stack must be used. In addition, every socket in the server must be populated. Using faster processors or more memory is acceptable.

Storage All drive bays must be populated with the largest capacity drive in the drive family being used in the solution. The test may be run with different makes and models as long as each drive type is present in each server.

NIC’s (Storage/Cluster)

All serves must have at least a 2-port NIC that meets the Azure Stack requirements. The test may be run with NIC’s that have more than 2-ports.



Solution Changes: Any substitution of components with different components or changes in configuration topology are viewed as creating a new solution and would require certification.

Refreshing HDD/SDD’s:All drives must pass component certification but the introduction of a new drive in a solution does not require recertification of the solution. Note: Boot drives used in solution are only required to pass Windows Server certification.

Switches: All switches that will be included in a solution offering must be tested with that solution. For example, if a solution will have an option for one or two switches, both configurations must be tested. Switches that are tested with a solution and pass certification will be listed with the solution in the validate solution catalog. We will switch that have been validate with solution together in the catalog.

In Box Drivers:Drives that ship in box with Windows Server are not required to be recertified using the Azure Stack component tests, however the solution must still pass the PCS Solution profile test and the solution must also pass Validation as a Service.

Definition of Terms for Azure Stack SolutionsIn order to provide clarity the following definitions for terms are used. “Family of drives” – refers to a drive manufactures product line where the drives may be available in various capacities (ex. 2TB/4TB/6TB/8TB/10TB) but the firmware for the drives is the same. “Minimum and Maximum” – refers to the minimum and maximum ranges for a given solution that will be sold in market. For example, if a solution were available in 4/6/8/12/16 server solutions the 4 server and 16 sever solutions are the only solutions that would require certification. “Validate Solution Catalog” – refers to the catalog of validated Azure Stack solutions that will be accessible form the Azure Marketplace on Azure.com.



Resolve test failures

Errata Occasionally, a system may show a false failure due to a bug in a test provided in the HLK kit. The Windows HLK has been designed to allow filtering out false failures for specific tests through the use of errata filters. These filters parse test logs for specific criteria and set the test to a passing state. The errata filters Microsoft provides undergo regular maintenance. Microsoft ask that errata filters are updated regularly into your test environment in order to detect any issues with tests shipped in the Windows HLK. Details on how to download and apply filters is available at http://aka.ms/hlkfilters. If a potential false failure is detected and isn't filtered by the kit automatically, please open a service request with Microsoft Customer Service and Support (CSS). If the root cause of the issue is found to be a test error, an errata filter will allow for bypassing the problem until a later update is made available for the Windows HLK.Errata are unable to filter some test failures; these issues may appear as a failure during automated review. Whenever possible, an informational filter known as an auto-triage filter identifies these issues. Informational filters will not reverse detected failures. Instead, informational filters act to instruct the tester to correct the test environment, or to contact a CSS representative in order to determine whether the failure is legitimate, or an ambiguous test result. If such an issue is encountered, confirm the status with a CSS representative. Microsoft asks that partners submit their logs under these conditions even though the logs contain an apparent error. Such failures are often manually reversed. For details about how to properly document the failure for a manual review, contact a CSS representative.

Submission readmeWHCP Submission Readme , or a successor thereto, is a form to use for document testing exceptions. The form enables submission with unfilterable test failures to achieve WHCP qualification manually. The Submission readme file can be downloaded from http://aka.ms/submissionreadme Typically, the exception of unfilterable test failures are issued by CSS, or a successor thereto.Upon the completion of the Submission readme file, the file should be included as part of Supplemental files in HLK Studio before generating the final HLK package.


http://aka.ms/submissionreadme

http://aka.ms/submissionreadme

http://aka.ms/hlkfilters


Windows HLK support

To obtain help with the Windows HLK, open a support case with CSS. They will provide technical support.Customers who have a Premier support contract can use their designated Microsoft contacts to open support incidents for high-priority handling. https://www.microsoft.com/en-us/microsoftservices/support.aspx. Support for the Windows HLK is available from Microsoft at http://aka.ms/hlkhelp. Help is also available through Premier Support Agreements. For customers who don't have a Premier support contract, professional support options, including telephone numbers and pricing information, are available at Microsoft Support, or a successor thereto.Please also see this blog posting for details on changes to how the Windows Hardware Compatibility Program will be supported going forward.


http://aka.ms/hlkhelp

https://www.microsoft.com/en-us/microsoftservices/support.aspx

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