DQAG(Pol)/1/26

Issue 4
11 Sep 06

FUNCTIONAL ASSURANCE WHY/WHAT/WHERE GUIDE TO QUALITY MANAGEMENT

Project Quality
Ser

QM Assurance Criteria

PQ1

The ITT/Contract invokes QA

conditions appropriate to the
project.

Why do it ?
To increase confidence in IPTs ability
to deliver its output
Risk reduction measure

Where to look ?
- IPTL LoD Standing Instructions
- RCA
- ITT
- Contract

Ensure compliance with IPTL Letter of

Delegation responsibilities

What to look for ?

- Clear understanding of and commitment to IPTL LoD
Quality responsibilities.
- QA requirements that require the Supplier to exercise
controls in line with product requirements.
- MoD GQAR has right of access to suppliers premises.

PQ2

Tender assessment results in

the selection of an appropriate
supplier.

To demonstrate a robust, transparent,

auditable process has been used to
select the best value for money
solution.

- PQQ concept of analysis

- Special Notices and Instructions to
Tenderers.
-Tender Assessment Strategy

- The process described has been effectively applied.

PQ3

Product/Supplier risks that can

be mitigated by QA action are
defined in the risk register and
under control.

Proactive approach to minimise the

likelihood of adverse impacts on
product or project deliverables.

- Risk Register
- Project Quality Management Plan
rd
- 3 Party Assessment/Surveillance
Reports

- Analysis of risk
- Inclusion of Project QA Focal Point in Risk assessment
process.
- Use of QA as risk mitigation action.
- GQAR Surveillance Plan
- GQAR Surveillance Reports
- Evidence of IPT risk analysis
- Evidence of IPT risk planning
- Identification of risks that can be mitigated by QA activity.
- Evidence of GQA Surveillance request/activity.
- Evidence of IPT QA activity.

PQ4

GQAR resources required to

support QA Surveillance are
available.

Ensure that registered GQAR

organisations can provide the
necessary level of customer support
and competent staff for extant and
future activities.

- GQAR Tasking Request

- Agreement between IPT and GQAR of resource required

and surveillance activity to be undertaken.

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DQAG(Pol)/1/26
Issue 4
11 Sep 06

Ser

QM Assurance Criteria

Why do it ?

Where to look ?

What to look for ?

PQ5

QA Surveillance Plan has

been agreed with the GQAR

To enable IPT to define the perceived

supplier risks for which QA
Surveillance will be used as mitigation
activity.
To enable GQAR to define the
proposed QA Surveillance activity,
resource commitment and timescales
to, and obtain agreement with, the IPT.

- GQAR Tasking Request

- GQAR Surveillance Plan

- Agreement between IPT and GQAR of resource required

and surveillance activity to be undertaken at agreed times.

PQ6

GQAR reports are being used

to influence Supplier
performance

To ensure risks with QA mitigation

activities are being managed.

- GQAR Surveillance Reports

- GQAR returns
- Risk Register

-Evidence that the IPT has analysed GQAR returns and

taken the necessary actions.
- Evidence that GQAR returns have addressed the IPT risk
requirements.

PQ7

Configuration Management
requirements have been
considered.

CM provides activities for version

control within projects. It is as
applicable to project documentation as
it is to build standards for hardware.

- TLMP Section 4, Plans and Processes

(can refer to stand alone document)
- ITT/Contract
- Quality Management Plan
- Project Configuration Management
Plan
- Support Solutions Envelope Key
Support Area 2 GP 2.4

- Competent CM focal point established

- IPT adoption of CM principles
- CM Contractual requirements milestones
- Planning for CM Processes:
Identify & document Cis
Change management/control
Status accounting/ Audit
- Working to the plans
- Compliance with SSE GP2.4 policy.

Effective Configuration Management

will improve efficiency and reduce
risks in integration and programme
delivery, through the prevention of
nugatory work on the wrong version of
a component or document.

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DQAG(Pol)/1/26
Issue 4
11 Sep 06

Supplier Quality
Ser

QM Assurance Criteria

SQ1

Suppliers past performance

has been considered prior to
award of contract.

Why do it ?

Where to look ?

What to look for ?

Review of Suppliers past performance

is a good predictor to future
performance. It enables the early
identification and analysis of risks.

- Supplier & Customer Performance

Database
rd
- 3 Party Surveillance/Assessment
reports
- GQAR input

Suppliers ability to deliver product that meets customers

requirements.
Liaison with Supplier Relations Group

SQ2

The Supplier maintains a QMS

with an Appropriate
Certification issued by an
rd
accredited 3 Party.

Confirm Suppliers ability to produce

product within the technical
requirement.

QMS certificate
QMS Registered Scope
rd
Details of 3 Party Certification Body

- QMS certificate defines a QMS standard appropriate for

contract requirements.
- QMS Certificate defines a scope that aligns with contract
requirements.
- QMS Certificate defines any exclusions from the
assessment standard.
rd
- 3 Party Certification Body is UKAS approved.

SQ3

The Supplier has provided

evidence that planning for
quality has been undertaken.

Provide confidence in the Suppliers

ability to plan to meet customer
requirements.

Quality Manual
Quality Policy Statement
Quality Strategy/Plan
Sub-Contractors Quality Plan
Risk Management Plan

- Evidence that Quality Policy statement has senior

management support and commitment.
- Assurance that Quality Policy statement has been subject
to regular review.
- Assurance that application of QMS will provide adequate
control over contract requirements.
- Assurance that planning activity has addressed subcontractor controls and requirements.
- Assurance that change control process considers impact
on planning for quality.
- Assurance that effective risk assessment, management
and control will be applied.

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DQAG(Pol)/1/26
Issue 4
11 Sep 06
SQ4

The Supplier has provided

evidence of achieving
Customer Satisfaction

Ascertain the Suppliers track record

on the ability to meet customers
expectations.

Quality Manual
QMS Processes/Procedures
Quality Plan
Customer Surveys
Product Feedback
Customer Complaints
GQAR Surveillance Reports
SRG Supplier Performance Metrics

- Assurance that customer satisfaction data is being used to

improve contract performance and product quality.
- Assurance that customer requirements are understood
and promulgated to all relevant personnel e.g. identification
of statutory and regulatory requirements.
- Proposals for monitoring Customer Perception

SQ5

The Supplier has provided

evidence that the QM/QA skills
and competence needed to
fulfil contract requirements are
available.

Provide assurance that the Supplier

has the identified the skills, knowledge
and training required to ensure that all
elements of Quality Management will
be effectively applied to the contract.

Quality Manual
QMS Processes/Procedures
Quality Plan
Contract Review Records
Internal Review Records
Management Review Records
GQAR Surveillance Reports

- Evidence of analysis of QM/QA skills and competence

required to deliver the contract requirement.
- Evidence of analysis of resource requirements
- Proposals for any specialist training needs.
- Details of process for controlling management and
workforce succession requirements.

SQ6

The Supplier has provided

proposals for the effective
control of subcontractors

To assure that products purchased by

the Supplier satisfy prime contract
conditions and that effective risk
management is applied throughout the
supply chain.

Quality Manual
QMS Processes/Procedures
Quality Plan
Supplier Quality Plan
Contract Review Records
Internal Review Records
Management Review RecordsGQAR
Surveillance Reports

- Evaluation of the subcontractor experience and capability

required to support contract requirements
- Evidence of monitoring sub-contractor delivery of
conforming product.
- Evidence of supplier selection criteria e.g QMS
requirements. Product approval. Staff competence

SQ7

A maturity assessment of the

Supplier processes, critical to
project success, has been
undertaken.

Supplier process maturity assessment

will improve understanding/confidence
in, the Suppliers ability to manage and
control the processes that enable
product quality

Reports of Process Maturity Assessment

- Evidence of the application of recognised Process Maturity

standards e.g. ISO 15504, CMMI.
- Effectiveness of process assessment techniques used.

SQ8

The Supplier has provided

proposals for the effective
control of product
configuration.

Provide confidence in the Suppliers

ability to manage configuration and
ensure product physical and functional
characteristics meet with customers
requirements.

Configuration Management Plan

Quality Manual
QMS/CMS Processes/Procedures
Quality Plan
Contract Review Records
Internal Review Records
Management Review Records
GQAR Surveillance Reports

- Evidence that the CM principles detailed in DS 05-57 have

been effectively applied.
- Evidence that change control process addresses changes
to hardware/ software/ documentation
- Evidence of a product/documentation baseline approval
process
- Evidence that change management process considers
- Review; Approval and Implementation.
- Evidence of configuration audit e.g. functional or physical

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DQAG(Pol)/1/26
Issue 4
11 Sep 06

IPT Business Management

Ser

QM Assurance Criteria

BM1

A Quality Policy and strategy

has been defined and
communicated throughout the
project team.

Why do it ?

Where to look ?

To generate a clear understanding of,

commitment to, and responsibilities for
quality throughout the team.

- Through Life Management Plan

- IPT Business Plan (linked to TLMP)
- Business Management System (linked
to TLMP)

The following are defined:

- Customer focus
- Leadership
- Involvement of People
- Process approach
- System approach to management
- Continual improvement
- Factual approach to decision making
- Mutually beneficial supplier relationships.

To promulgate the IPTLs strategy that

supports the delivery of LoD quality
responsibilities

What to look for ?

BM2

A competent Quality Focal Point

has been appointed.

To ensure the availability of those

specialist skills and experience
deemed essential to support the
achievement of the IPTs quality
objectives.

- Organisation structure
- Internal delegations
- Terms of Reference
- Training Records
- IPT Business Plan
- Business Management System
- Quality Management Plan
- IPTL Letter of Delegation
- AMS Quality Management
Constraints

- QA Focal Point nominated.

- QA Focal Point responsibilities identified e.g. ToRs, LoD.
- QA skill level and competence identified e.g. Acquisition
Skills Framework. QM Functional Competences
- Nominated QA staff have demonstrated the appropriate
competence within functional competence MQ1 MQ3.
- Post Profile is available and accurate.
- Personal profile is available and accurate.
- Actions in hand to close gap in Post and Personal profile
competences.

BM3

Planning for project quality has

been undertaken..

Details the planning to be undertaken

in support of the management of
Quality.

- TLMP (can be referenced to a stand

alone document)
- Quality Strategy/Plan (hardware and
software)

- How Quality strategy is to be implemented.

BM4

Processes, critical to project

success have been identified,
are being monitored and results
used to influence continual
improvement.

To identify the processes that need to

be controlled to ensure project
success and to determine the
sequence and interaction of these
processes.

- TLMP Section 4 (Plans & Processes)

- IPT Business Plan
- Business Management System

- How processes were identified.

- Identification of project processes critical to ensuring
customer satisfaction.
- Identification of project processes necessary to ensure IPT
efficiency e.g. contractor selection
- Identification of processes necessary to improve IPT
performance e.g. continual improvement, internal audit,
preventive/corrective action.
- IPT/project critical processes mapped i.e. inputs, outputs,
resources and constraints defined.

Delivery of IPTL Letter of Delegation

responsibilities for Quality.

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DQAG(Pol)/1/26
Issue 4
11 Sep 06

Ser

QM Assurance Criteria

Why do it ?

Where to look ?

What to look for ?

BM5

Assessment against the QM

Maturity Model is at Level 3
(minimum).

To identify and prioritise actions

necessary to improve IPT performance
and enhance customer satisfaction.

QMMM

Evidence of To Be position
Evidence of As Is assessment
Gap Analysis
Improvement Programme

BM6

The IPT can demonstrate

Customer Satisfaction

To ensure that IPT business objectives

and planning activities continue to
support the with customer
requirements.

Customer surveys
Customer complaints
Customer compliments

Regular analysis of data.

Establishment of trends
Effective actions taken in support of data analysis

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